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.
V•••••• A•• L•••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jul 31, 2007 · Pittsburgh, Pa
- R••• B••• • C•• unclassifiedJul 16, 2003 to Jul 31, 2007 · Pittsburgh, Pa
- J••••• H•••••••• W••• L••••• L•• formerJun 11, 2003 to Jul 17, 2003 · Pittsburgh, Pa
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Jul 31, 2007, registered Jul 31, 2007 (0 days) · corporate re-registration, not a move
- J••••• H•••••••• W••• L••••• L•• to R••• B••• • C••left Jul 17, 2003, registered Jul 16, 2003 (-1 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address