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.
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- W••••• A••••••• S•••••••• L•• institutional currentsince Jun 28, 2024 · Providence, Ri
- G••••• R••••••••• P••••••• L•• institutionalApr 1, 2019 to Jul 13, 2024 · Providence, Ri
- K••••• A••••••• S•••••••• L•• BD affiliatedMar 11, 2019 to Apr 1, 2019 · Providence, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 23, 2017 to Jan 31, 2019 · Riverside, Ri
- G••••• R••••••••• P••••••• L•• to W••••• A••••••• S•••••••• L••left Jul 13, 2024, registered Jun 28, 2024 (-15 days) · corporate re-registration, not a move
- K••••• A••••••• S•••••••• L•• to G••••• R••••••••• P••••••• L••left Apr 1, 2019, registered Apr 1, 2019 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to K••••• A••••••• S•••••••• L••left Jan 31, 2019, registered Mar 11, 2019 (39 days) · Wirehouse to affiliated broker-dealer or bank
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
- Institutional managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address