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.
A••••• B•••••• L•••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Mar 15, 2021 · Chicago, Il
- S•••••• • C• I•• formerMar 24, 2004 to Dec 31, 2005 · New York, Ny
- A••••••••• L••• otherMay 15, 2002 to Oct 28, 2002 · New York, Ny
- S•••••• • C• I•• to H•••••••• A•••••••• L••left Dec 31, 2005, registered Mar 15, 2021 (5553 days) · Other
- A••••••••• L••• to S•••••• • C• I••left Oct 28, 2002, registered Mar 24, 2004 (513 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address