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.
J••••• N••••••• D••••••••
- W•••••• A•••••••• L•• independent RIA currentsince Feb 15, 2018 · Charlotte, Nc
- D•••••• W••••• M••••••••• L•• asset managerFeb 24, 2022 to Sep 7, 2023 · St. Petersburg, Fl
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 19, 2012 · Purchase, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 20, 2005 to Feb 21, 2006 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 9, 1991 to Jun 1, 2009 · New York, Ny
- D•••••• W••••• M••••••••• L•• to no registered destinationleft Sep 7, 2023 · Departure, no registered destination
- M••••• S•••••• to W•••••• A•••••••• L••left Dec 19, 2012, registered Feb 15, 2018 (1884 days) · Other
- C•••••••• G••••• M•••••• I••• to L••• M•••• W••• W•••••• I•••••••••left Jun 1, 2009, registered Dec 20, 2005 (-1259 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to M••••• S••••••left Feb 21, 2006, registered Jun 1, 2009 (1196 days) · Other
- J••••• N••••••• D•••••••• no longer registered at D•••••• W••••• M••••••••• L••; no later IA registration on IAPDSep 7, 2023 · Advisor departure · fact
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