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.
P••• D••••• G•••••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Jul 23, 2021 · Charlotte, Nc
- A••••••• R••••••• I•• mixed wealthMay 20, 2016 to Dec 11, 2019 · Chicago, Il
- C•••••• E•••••••• M•••• P••••••••• L•• formerMar 31, 2015 to May 11, 2015 · Brentwood, Tn
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 7, 2013 to Jan 3, 2014 · Wilmington, Il
- J••• H•••••• I••••••••• M••••••••• L•• asset managerAug 17, 2005 to Dec 31, 2010 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerAug 17, 2005 to Dec 12, 2011 · Boston, Ma
- A••••••• R••••••• I•• to I• F•••••••• A••••••• S••••••• L••left Dec 11, 2019, registered Jul 23, 2021 (590 days) · RIA to affiliated broker-dealer or bank
- C•••••• E•••••••• M•••• P••••••••• L•• to A••••••• R••••••• I••left May 11, 2015, registered May 20, 2016 (375 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C•••••• E•••••••• M•••• P••••••••• L••left Jan 3, 2014, registered Mar 31, 2015 (452 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 12, 2011, registered Nov 7, 2013 (696 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Dec 31, 2010, registered Aug 17, 2005 (-1962 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address