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.
C••••••••• L•• D••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 6, 2023 · Warwick, Ri
- C••••••• S••••••••• I••• BD affiliatedJan 27, 2023 to Sep 6, 2023 · Johnston, Ri
- M••••• S•••••• wirehouseSep 16, 2019 to Feb 16, 2023 · Providence, Ri
- C••••••• S••••••••• I••• to C••••••••• F•••••••• N••••••left Sep 6, 2023, registered Sep 6, 2023 (0 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to C••••••• S••••••••• I•••left Feb 16, 2023, registered Jan 27, 2023 (-20 days) · Wirehouse to affiliated broker-dealer or bank
- C••••••••• L•• D•••••• left C••••••• S••••••••• I••• for C••••••••• F•••••••• N•••••• (registered 2023-09-06)Sep 6, 2023 · Advisor changed firm · fact
- C••••••••• L•• D•••••• left M••••• S•••••• for C••••••• S••••••••• I••• (registered 2023-01-27)Feb 16, 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address