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.
B•••• C•••••• L•••
- L•• F•••••••• L•• BD affiliated currentsince Jan 28, 2021 · Highlands, Nj
- R•••• A••••••• S•••••••• I••• independent RIANov 26, 2018 to Mar 2, 2021 · Sea Girt, Nj
- V•••••• C•••••• M••••••••• I••• asset managerJan 9, 2018 to May 18, 2018 · Middletown, Nj
- I•••••• A•••••••• I••• asset managerJan 1, 2010 to May 3, 2017 · Atlanta, Ga
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedJul 16, 2009 to Jan 1, 2010 · Houston, Tx
- R•••••• I••••••••• asset managerJun 30, 2005 to Dec 31, 2008 · New York, Ny
- C••••• C••••••• L•• formerJul 16, 2003 to Dec 1, 2003 · Denver, Co
- R•••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 2, 2021, registered Jan 28, 2021 (-33 days) · RIA to affiliated broker-dealer or bank · moved with a team
- V•••••• C•••••• M••••••••• I••• to R•••• A••••••• S•••••••• I•••left May 18, 2018, registered Nov 26, 2018 (192 days) · Other
- I•••••• A•••••••• I••• to V•••••• C•••••• M••••••••• I•••left May 3, 2017, registered Jan 9, 2018 (251 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to I•••••• A•••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 days) · corporate re-registration, not a move
- R•••••• I••••••••• to I•••••• A•• P•••••• A•••• M••••••••• I•••left Dec 31, 2008, registered Jul 16, 2009 (197 days) · Other
- C••••• C••••••• L•• to R•••••• I•••••••••left Dec 1, 2003, registered Jun 30, 2005 (577 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address