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.
R••••• J•••• H••••••
- V•••••• A•••• M••••••••• I••• state registered currentsince Aug 8, 2017 · Saint Louis, Mo
- A••••••• P••••••••• A•••••••• I•• formerFeb 28, 2012 to Jul 6, 2017 · Holbrook, Ny
- P•••••• W••• F•••••••• C••••••••• I•• formerAug 3, 2009 to Feb 15, 2012 · Renton, Wa
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 10, 2005 to Aug 3, 2009 · Hartford, Ct
- C••••• I••••••••• S••••••• L•• formerMar 4, 2003 to Nov 11, 2005 · Newington, Ct
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 23, 2000 to Mar 6, 2003 · Newington, Ca
- A••••••• P••••••••• A•••••••• I•• to V•••••• A•••• M••••••••• I•••left Jul 6, 2017, registered Aug 8, 2017 (33 days) · Other
- P•••••• W••• F•••••••• C••••••••• I•• to A••••••• P••••••••• A•••••••• I••left Feb 15, 2012, registered Feb 28, 2012 (13 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•••••• W••• F•••••••• C••••••••• I••left Aug 3, 2009, registered Aug 3, 2009 (0 days) · Other
- C••••• I••••••••• S••••••• L•• to B••• O• A•••••• I••••••••• S•••••••• I•••left Nov 11, 2005, registered Nov 10, 2005 (-1 days) · Other
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••••• I••••••••• S••••••• L••left Mar 6, 2003, registered Mar 4, 2003 (-2 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
- STATE REGISTEREDderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address