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••• D•••• S••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Sep 14, 2020 · Houston, Tx
- U••••• A••••••• S•••••••• L•• formerJul 22, 2013 to Sep 17, 2020 · Buffalo, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 18, 2004 to Jul 22, 2013 · Short Hills, Nj
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Jun 23, 2004 · Short Hills, Nj
- P••••••••• E••••• G••••• L•• unclassifiedAug 23, 1983 to Jul 1, 2003 · Short Hills, Nj
- U••••• A••••••• S•••••••• L•• to B• R•••• W••••• A•••••••• I•••left Sep 17, 2020, registered Sep 14, 2020 (-3 days) · RIA to affiliated broker-dealer or bank · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••••• A••••••• S•••••••• L••left Jul 22, 2013, registered Jul 22, 2013 (0 days) · Other
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 23, 2004, registered Jun 18, 2004 (-5 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address