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••••• L•••
- I•• C••••••• L•• independent RIA currentsince Sep 6, 2021 · Boca Raton, Fl
- B• R•••• W••••• M••••••••• formerJan 23, 2015 to Sep 16, 2016 · New York, Ny
- I•• C••••••• L•• independent RIAMay 6, 2008 to Dec 2, 2010 · New York, Ny
- D••••••• • D••••••• L•• formerMar 17, 2006 to Jan 28, 2015 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Sep 21, 2004 · New York, Ny
- P••••••• L•• unclassifiedMar 3, 1995 to Jan 17, 2003 · New York, Ny
- B• R•••• W••••• M••••••••• to I•• C••••••• L••left Sep 16, 2016, registered Sep 6, 2021 (1816 days) · Other
- D••••••• • D••••••• L•• to I•• C••••••• L••left Jan 28, 2015, registered May 6, 2008 (-2458 days) · Other
- I•• C••••••• L•• to B• R•••• W••••• M•••••••••left Dec 2, 2010, registered Jan 23, 2015 (1513 days) · Other
- C••••• S••••• S••••••••• •••• L•• to D••••••• • D••••••• L••left Sep 21, 2004, registered Mar 17, 2006 (542 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 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
- Independent wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address