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.
G••••• V••••
- E•••••••• A•••••••• L•• national BD currentsince Jan 9, 2025 · Burlington, Vt
- W• C••••••••• I••••••••• I••• independent RIAMay 4, 2022 to Aug 15, 2023 · South Burlington, Vt
- D•• A•••••••• L•• independent RIAMar 17, 2014 to Apr 25, 2022 · Essex Junction, Vt
- W• C••••••••• I••••••••• I••• to E•••••••• A•••••••• L••left Aug 15, 2023, registered Jan 9, 2025 (513 days) · RIA to affiliated broker-dealer or bank
- D•• A•••••••• L•• to W• C••••••••• I••••••••• I•••left Apr 25, 2022, registered May 4, 2022 (9 days) · RIA to RIA
- G••••• V•••• left W• C••••••••• I••••••••• I••• for E•••••••• A•••••••• L•• (registered 2025-01-09)Aug 15, 2023 · Advisor changed firm · fact
- G••••• V•••• left D•• A•••••••• L•• for W• C••••••••• I••••••••• I••• (registered 2022-05-04)Apr 25, 2022 · Advisor changed firm · fact
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address