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•• W••••••• H••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Jan 18, 2018 · Philadelphia, Pa
- A••••••••• F•••••••• S•••••••• L•• national BDMar 14, 2016 to Feb 9, 2017 · Scituate, Ma
- B•••••••• I••••••••• M••••••••• L•• asset managerSep 29, 2006 to Apr 3, 2009 · Plainsboro, Nj
- M•••••• L•••• I••••••••• M••••••• L• unclassifiedMar 18, 2003 to Sep 29, 2006 · Boston, Ma
- A••••••••• F•••••••• S•••••••• L•• to J••••• M••••••••• S•••• L••left Feb 9, 2017, registered Jan 18, 2018 (343 days) · Other
- B•••••••• I••••••••• M••••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Apr 3, 2009, registered Mar 14, 2016 (2537 days) · Other
- M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••left Sep 29, 2006, registered Sep 29, 2006 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address