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• B•••••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jul 12, 2017 · Portland, Ct
- I••••••••• F•••••••• G••••• L•• BD affiliatedMar 14, 2014 to Jul 12, 2017 · San Diego, Ca
- L•• F•••••••• L•• BD affiliatedSep 12, 2011 to Mar 21, 2014 · Hartford, Ct
- I••••••••• F•••••••• G••••• L•• to P•••••• A•••••• G••••• L••left Jul 12, 2017, registered Jul 12, 2017 (0 days) · Other
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Mar 21, 2014, registered Mar 14, 2014 (-7 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address