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.
L•••• H••• S•••••
- W•••••• B•••• • C•••••• L••••• BD affiliated currentsince Jan 25, 2017 · Chicago, Il
- K••••••• F•••••••• A•••••••• L•• independent RIAJan 7, 2010 to Jan 30, 2017 · New York, Ny
- C••••• A•••• M••••••••• L•• mixed wealthJun 7, 2004 to Jan 7, 2010 · New York, Ny
- C••••• A•• C••••••• L••• unclassifiedSep 18, 1997 to Jun 3, 2004 · New York, Ny
- K••••••• F•••••••• A•••••••• L•• to W•••••• B•••• • C•••••• L•••••left Jan 30, 2017, registered Jan 25, 2017 (-5 days) · Other · moved with a team
- C••••• A•••• M••••••••• L•• to K••••••• F•••••••• A•••••••• L••left Jan 7, 2010, registered Jan 7, 2010 (0 days) · Other
- C••••• A•• C••••••• L••• to C••••• A•••• M••••••••• L••left Jun 3, 2004, registered Jun 7, 2004 (4 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address