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.
A••• S•••••• P••••••
- L••••••• S••••••••• C•••• BD affiliated currentsince Jan 17, 2019 · Gan Haim
- F•••••••• E••••• S•••••••• I••• formerMay 28, 2013 to Nov 30, 2018 · San Diego, Ca
- T•••••••• A••••••• G••••• I••• BD affiliatedMay 8, 2009 to Jul 23, 2012 · Greensburg, Pa
- O•••• F•• I••• formerJan 17, 2006 to Feb 27, 2009 · Jamaica Plain, Ma
- F•••••••• E••••• S•••••••• I••• to L••••••• S••••••••• C••••left Nov 30, 2018, registered Jan 17, 2019 (48 days) · Affiliated broker-dealer or bank to independent RIA
- T•••••••• A••••••• G••••• I••• to F•••••••• E••••• S•••••••• I•••left Jul 23, 2012, registered May 28, 2013 (309 days) · Other
- O•••• F•• I••• to T•••••••• A••••••• G••••• I•••left Feb 27, 2009, registered May 8, 2009 (70 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address