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••••• J••••• C••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince Dec 21, 2018 · The Villages, Fl
- D•••• C•••• F•••••••• M••••••••• L•• unclassifiedOct 20, 2014 to Dec 31, 2018 · North Haven, Ct
- Q•••••• A•••• M••••••••• I••• formerMar 16, 2012 to Oct 20, 2014 · Minneapolis, Mn
- D••••••• S••••••••• L•• independent RIAApr 14, 2008 to Mar 19, 2012 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 15, 2007 to Apr 17, 2008 · Wilton, Ct
- A••••••••• W••••• M••••••••• G•••• L•• unclassifiedMar 31, 2005 to Jun 21, 2007 · Newtown, Ct
- A••••••••• unclassifiedAug 21, 2000 to Sep 8, 2005 · Danbury, Ct
- D•••• C•••• F•••••••• M••••••••• L•• to B•••••••• A•••• M••••••••• L••left Dec 31, 2018, registered Dec 21, 2018 (-10 days) · Other
- Q•••••• A•••• M••••••••• I••• to D•••• C•••• F•••••••• M••••••••• L••left Oct 20, 2014, registered Oct 20, 2014 (0 days) · Other
- D••••••• S••••••••• L•• to Q•••••• A•••• M••••••••• I•••left Mar 19, 2012, registered Mar 16, 2012 (-3 days) · Other
- C•••• I••••••••• S••••••• C•••• to D••••••• S••••••••• L••left Apr 17, 2008, registered Apr 14, 2008 (-3 days) · Other
- A••••••••• W••••• M••••••••• G•••• L•• to C•••• I••••••••• S••••••• C••••left Jun 21, 2007, registered May 15, 2007 (-37 days) · Other
- A••••••••• to A••••••••• W••••• M••••••••• G•••• L••left Sep 8, 2005, registered Mar 31, 2005 (-161 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
- Independent wealth managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address