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.
C••••• L• C••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Jul 5, 2017 · Birmingham, Al
- B•• M••••• S••••••••• C••••••••• otherAug 7, 2007 to Aug 24, 2015 · Ft. Lauderdale, Fl
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerApr 14, 2004 to Aug 7, 2007 · Parsippany, Nj
- P••••• I••••••••• M••••••••• L•• asset managerFeb 28, 2002 to Mar 10, 2003 · Boston, Ma
- B•• M••••• S••••••••• C••••••••• to K••••• A••••••• S•••••••• L••left Aug 24, 2015, registered Jul 5, 2017 (681 days) · Other
- N•• Y••• L••• I••••••••• M••••••••• L•• to B•• M••••• S••••••••• C•••••••••left Aug 7, 2007, registered Aug 7, 2007 (0 days) · Other
- P••••• I••••••••• M••••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••left Mar 10, 2003, registered Apr 14, 2004 (401 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address