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•••• A•••••• S••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Dec 2, 2020 · East Greenwich, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 27, 2019 to Dec 1, 2020 · Providence, Ri
- S•••••••• S••••••••• BD affiliatedDec 14, 2016 to Sep 27, 2019 · Worcester, Ma
- C••••••• S••••••••• I••• BD affiliatedJun 26, 2013 to Dec 5, 2016 · Wakefield, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Dec 1, 2020, registered Dec 2, 2020 (1 days) · Wirehouse to wirehouse
- S•••••••• S••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 27, 2019, registered Sep 27, 2019 (0 days) · Affiliated broker-dealer or bank to wirehouse
- C••••••• S••••••••• I••• to S•••••••• S•••••••••left Dec 5, 2016, registered Dec 14, 2016 (9 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address