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.
W••••• E••••• B••
- A• W••••• M••••••••• L•• BD affiliated currentsince Oct 23, 2018 · Northampton, Ma
- W••••••• I••••••••• M••••••••• L•• independent RIAMar 2, 2015 to Sep 25, 2018 · Northampton, Ma
- G••••• F•••••••• P•••••• C••••••• I••• formerJul 29, 2011 to Oct 12, 2012 · Northhampton, Ma
- L•• O••••• O• W••••• E• B•• unclassifiedMay 13, 2011 to Dec 31, 2014 · Northampton, Ma
- W••••••• I••••••••• M••••••••• L•• to A• W••••• M••••••••• L••left Sep 25, 2018, registered Oct 23, 2018 (28 days) · RIA to RIA
- L•• O••••• O• W••••• E• B•• to G••••• F•••••••• P•••••• C••••••• I•••left Dec 31, 2014, registered Jul 29, 2011 (-1251 days) · Other
- G••••• F•••••••• P•••••• C••••••• I••• to W••••••• I••••••••• M••••••••• L••left Oct 12, 2012, registered Mar 2, 2015 (871 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address