RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
C•••• D• M•••••
- G•• S••••••••• I••• BD affiliated currentsince Aug 1, 2019 · Cranston, Ri
- N••••••••• S••••••••• L•• no RAUMJan 22, 2018 to Jul 31, 2019 · Pawtucket, Ri
- S•••••••• S••••••••• BD affiliatedJan 31, 2017 to Sep 8, 2017 · Framingham, Ma
- C••••••• S••••••••• I••• BD affiliatedSep 12, 2012 to Jan 3, 2017 · Seekonk, Ma
- N••••••••• S••••••••• L•• to G•• S••••••••• I•••left Jul 31, 2019, registered Aug 1, 2019 (1 days) · Other
- S•••••••• S••••••••• to N••••••••• S••••••••• L••left Sep 8, 2017, registered Jan 22, 2018 (136 days) · Other
- C••••••• S••••••••• I••• to S•••••••• S•••••••••left Jan 3, 2017, registered Jan 31, 2017 (28 days) · Other
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address