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.
M•••••• S••••• W•••••
- C••••••••• P••••••••• A•••••• S•••••••• L•• independent RIA currentsince Apr 1, 2015 · Freehold, Nj
- S••••• A••••••• I••• BD affiliatedJan 30, 2015 to Apr 1, 2015 · Birmingham, Al
- S••••• A••• I••••••••• A•••••• S•••••••• I••• formerJan 24, 2014 to Jan 30, 2015 · Youngstown, Oh
- N•• A•••••• S•••••••• L•• formerOct 9, 2008 to Jan 24, 2014 · Austin, Tx
- C•••••• G•••• • C• I•• formerFeb 13, 2007 to Oct 8, 2008 · Paramus, Nj
- A••••••• P••••••••• A•••••••• I•• formerAug 25, 2005 to Nov 17, 2006 · Holbrook, Ny
- F•••••••• F•••••••• G••••• L••• unclassifiedAug 24, 2000 to May 12, 2005 · Spring Lake Heights, Nj
- S••••• A••••••• I••• to C••••••••• P••••••••• A•••••• S•••••••• L••left Apr 1, 2015, registered Apr 1, 2015 (0 days) · Other
- S••••• A••• I••••••••• A•••••• S•••••••• I••• to S••••• A••••••• I•••left Jan 30, 2015, registered Jan 30, 2015 (0 days) · corporate re-registration, not a move
- N•• A•••••• S•••••••• L•• to S••••• A••• I••••••••• A•••••• S•••••••• I•••left Jan 24, 2014, registered Jan 24, 2014 (0 days) · Other
- C•••••• G•••• • C• I•• to N•• A•••••• S•••••••• L••left Oct 8, 2008, registered Oct 9, 2008 (1 days) · Other
- A••••••• P••••••••• A•••••••• I•• to C•••••• G•••• • C• I••left Nov 17, 2006, registered Feb 13, 2007 (88 days) · Other
- F•••••••• F•••••••• G••••• L••• to A••••••• P••••••••• A•••••••• I••left May 12, 2005, registered Aug 25, 2005 (105 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address