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.
J••• G• E••••••
- R•• W••••• B•••••••• I••• independent RIA currentsince Aug 14, 2019 · Tiverton, Ri
- G• I••••••••• A•••••••• L•• unclassifiedMar 25, 2014 to Mar 30, 2015 · Warwick, Ri
- I•• W••••• M••••••••• I••• formerAug 1, 2012 to Aug 22, 2017 · West Warwick, Ri
- L•• F•••••••• L•• BD affiliatedJul 29, 2011 to Aug 9, 2012 · Warwick, Ri
- M•• F•••••••• S•••••••• I••• formerJun 15, 2010 to Aug 18, 2011 · Warwick, Ri
- I•• W••••• M••••••••• I••• to G• I••••••••• A•••••••• L••left Aug 22, 2017, registered Mar 25, 2014 (-1246 days) · Other
- G• I••••••••• A•••••••• L•• to R•• W••••• B•••••••• I•••left Mar 30, 2015, registered Aug 14, 2019 (1598 days) · Other
- L•• F•••••••• L•• to I•• W••••• M••••••••• I•••left Aug 9, 2012, registered Aug 1, 2012 (-8 days) · Other
- M•• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Aug 18, 2011, registered Jul 29, 2011 (-20 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address