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.
D•••• S••••• P•••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince May 12, 2009 · Miami Beach, Fl
- F••••••• T•••••••• P•••••• P•••••••• G••••• L•• independent RIAOct 3, 2008 to May 7, 2009 · New York, Ny
- C••••••••• I••••••••• L•• mixed wealthMay 29, 2007 to May 7, 2009 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 8, 2005 to Jun 14, 2007 · New Haven, Ct
- L••• M•••• W••• W•••••• I••••••••• unclassifiedApr 29, 1992 to Feb 21, 2006 · Baltimore, Md
- C••••••••• I••••••••• L•• to F••••••• T•••••••• P•••••• P•••••••• G••••• L••left May 7, 2009, registered Oct 3, 2008 (-216 days) · Other
- F••••••• T•••••••• P•••••• P•••••••• G••••• L•• to J••••• M••••••••• S•••• L••left May 7, 2009, registered May 12, 2009 (5 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••left Jun 14, 2007, registered May 29, 2007 (-16 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Dec 8, 2005 (-75 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address