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••••• W••••••
- W•••• I••••••••• A•••••••• L•• other currentsince May 2, 2023 · Warwick, Ri
- L•• F•••••••• L•• BD affiliatedJan 27, 2021 to May 1, 2023 · Glastonbury, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJan 12, 2021 to Jan 29, 2021 · Mystic, Ct
- W•••• F•••• A••••••• wirehouseOct 24, 2018 to Jan 15, 2021 · Mystic, Ct
- L•• F•••••••• L•• to W•••• I••••••••• A•••••••• L••left May 1, 2023, registered May 2, 2023 (1 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Jan 29, 2021, registered Jan 27, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jan 15, 2021, registered Jan 12, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank
- G••••• W•••••• left L•• F•••••••• L•• for W•••• I••••••••• A•••••••• L•• (registered 2023-05-02)May 1, 2023 · 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
- Other adviserderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address