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••••• N•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Oct 30, 2017 · Castro Valley, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 3, 2003 to Nov 1, 2017 · Glastonbury, Ct
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 17, 1998 to Jun 2, 2003 · Castro Valley, Ca
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Nov 1, 2017, registered Oct 30, 2017 (-2 days) · Other · moved with a team
- V••• F•••••••• A•••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jun 2, 2003, registered Jun 3, 2003 (1 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address