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.
H••••• I• S••••
- S••••• M••••••••• independent RIA currentsince Feb 28, 2021 · North Little Rock, Ar
- P•••••• A••••••• L•• unclassifiedDec 23, 2020 to Apr 20, 2021 · New York, Ny
- V••••• C•••••• M••••••••• L•• independent RIAJun 1, 2020 to Apr 27, 2021 · New York, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedDec 24, 2013 to Jun 8, 2020 · New York, Ny
- F•••••• L••• A•••• M••••••••• L•• formerJul 2, 2013 to Dec 26, 2013 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseAug 3, 2007 to Jul 2, 2013 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseMar 30, 2005 to Jul 13, 2007 · New York, Ny
- V••••• C•••••• M••••••••• L•• to P•••••• A••••••• L••left Apr 27, 2021, registered Dec 23, 2020 (-125 days) · Other
- P•••••• A••••••• L•• to S••••• M•••••••••left Apr 20, 2021, registered Feb 28, 2021 (-51 days) · Other
- B• R•••• W••••• A•••••••• I••• to V••••• C•••••• M••••••••• L••left Jun 8, 2020, registered Jun 1, 2020 (-7 days) · Affiliated broker-dealer or bank to independent RIA
- F•••••• L••• A•••• M••••••••• L•• to B• R•••• W••••• A•••••••• I•••left Dec 26, 2013, registered Dec 24, 2013 (-2 days) · Other
- U•• F•••••••• S••••••• I••• to F•••••• L••• A•••• M••••••••• L••left Jul 2, 2013, registered Jul 2, 2013 (0 days) · Other
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 13, 2007, registered Aug 3, 2007 (21 days) · Wirehouse to wirehouse
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