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•••• M• P••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 13, 2020 · Pawtucket, Ri
- C••••••• S••••••••• I••• BD affiliatedMay 29, 2018 to Nov 16, 2020 · Cranston, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 2013 to May 22, 2018 · Providence, Ri
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Aug 13, 2013 · Providence, Ri
- L•• F•••••••• L•• BD affiliatedJul 3, 2012 to Sep 19, 2012 · Providence, Ri
- M•••••• independent RIAJan 20, 2011 to Apr 17, 2012 · Overland Park,, Ks
- N•• E•••••• S••••••••• C••••••••• formerJan 6, 2011 to Apr 17, 2012 · Boston, Ma
- C••••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Nov 16, 2020, registered Nov 13, 2020 (-3 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left May 22, 2018, registered May 29, 2018 (7 days) · Wirehouse to affiliated broker-dealer or bank
- S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 13, 2013, registered Aug 23, 2013 (10 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- M•••••• to L•• F•••••••• L••left Apr 17, 2012, registered Jul 3, 2012 (77 days) · Other
- N•• E•••••• S••••••••• C••••••••• to M••••••left Apr 17, 2012, registered Jan 20, 2011 (-453 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
- National broker-dealer RIAderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address