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.
B•••• S•••••• S•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 5, 2022 · North Attleboro, Ma
- A••••••••• F•••••••• S•••••••• L•• national BDJan 8, 2021 to Aug 2, 2022 · Pawtucket, Ri
- C••• B•••••••• S•••••••• I••• formerApr 9, 2019 to Jan 13, 2021 · Smithfield, Ri
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 30, 2019 to Apr 1, 2019 · Riverside, Ri
- C••• B•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 13, 2021, registered Jan 8, 2021 (-5 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••• B•••••••• S•••••••• I•••left Apr 1, 2019, registered Apr 9, 2019 (8 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address