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.
T•••••• B•••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 1, 2021 · Somerville, Nj
- T•••• A•••••••• L•• formerAug 16, 2017 to Dec 2, 2021 · Somerville, Nj
- G•• S••••••••• I••• BD affiliatedNov 14, 2014 to Aug 16, 2017 · Palm Beach Gardens, Fl
- I• A••••••• S•••••••• I••• formerMay 24, 2010 to Dec 12, 2014 · Warren, Nj
- S••••••••• A•••••• A•••••••• I••• formerJan 23, 2009 to Jun 9, 2010 · Lavista, Ne
- B••••• • Y•••• A•••••••• I••• formerJun 26, 2007 to Feb 7, 2009 · Folsom, Ca
- T•••• A•••••••• L•• to L•• F•••••••• L••left Dec 2, 2021, registered Dec 1, 2021 (-1 days) · Affiliated broker-dealer or bank to another · moved with a team
- G•• S••••••••• I••• to T•••• A•••••••• L••left Aug 16, 2017, registered Aug 16, 2017 (0 days) · Other · moved with a team
- I• A••••••• S•••••••• I••• to G•• S••••••••• I•••left Dec 12, 2014, registered Nov 14, 2014 (-28 days) · Other
- S••••••••• A•••••• A•••••••• I••• to I• A••••••• S•••••••• I•••left Jun 9, 2010, registered May 24, 2010 (-16 days) · Other
- B••••• • Y•••• A•••••••• I••• to S••••••••• A•••••• A•••••••• I•••left Feb 7, 2009, registered Jan 23, 2009 (-15 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address