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••••••• L• H••••••
- M••• S••••• F•••••••• S••••••••• L•• independent RIA currentsince Feb 27, 2020 · Newtown, Pa
- M••• S••••• F•••••••• S••••••••• L•• formerJun 27, 2016 to Jul 1, 2020 · Providence, Ri
- J• H•••••• F•••••••• P••••••• unclassifiedApr 1, 2013 to Jul 4, 2016 · Providence, Ri
- O••••••••• • C•• I••• BD affiliatedJan 1, 2010 to Oct 1, 2010 · Providence, Ri
- M••• S••••• F•••••••• S••••••••• L•• to M••• S••••• F•••••••• S••••••••• L••left Jul 1, 2020, registered Feb 27, 2020 (-125 days) · channel change inside one enterprise, not a move · moved with a team
- J• H•••••• F•••••••• P••••••• to M••• S••••• F•••••••• S••••••••• L••left Jul 4, 2016, registered Jun 27, 2016 (-7 days) · Other
- O••••••••• • C•• I••• to J• H•••••• F•••••••• P•••••••left Oct 1, 2010, registered Apr 1, 2013 (913 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address