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.
- F••••• I••••••••• independent RIA currentsince Jan 6, 2022 · Plano, Tx
- O•••• I••••••••• I••• BD affiliatedAug 25, 2020 to Dec 3, 2021 · Shelburne Falls, Ma
- O•••• I••••••••• I••• BD affiliatedOct 18, 2016 to Mar 13, 2020 · Greenfield, Ma
- C••••••• S••••••••• I••• BD affiliatedJun 3, 2016 to Sep 19, 2016 · Greenfield, Ma
- O•••• I••••••••• I••• to F••••• I•••••••••left Dec 3, 2021, registered Jan 6, 2022 (34 days) · Affiliated broker-dealer or bank to independent RIA
- C••••••• S••••••••• I••• to O•••• I••••••••• I•••left Sep 19, 2016, registered Oct 18, 2016 (29 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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address