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.
D•••• S•••• H•••••••••
- O••••••••• institutional currentsince Sep 19, 2018 · Overland Park, Ks
- L•• F•••••••• L•• BD affiliatedApr 7, 2016 to Nov 7, 2018 · Harrison, Ny
- I••••••••• F•••••••• P••••••• BD affiliatedNov 8, 2010 to Nov 1, 2018 · White Plains, Ny
- N•• A•••••••• I••• unclassifiedJan 2, 2009 to Dec 1, 2010 · White Plains, Ny
- L•• F•••••••• L•• to O•••••••••left Nov 7, 2018, registered Sep 19, 2018 (-49 days) · Other
- I••••••••• F•••••••• P••••••• to L•• F•••••••• L••left Nov 1, 2018, registered Apr 7, 2016 (-938 days) · Other
- N•• A•••••••• I••• to I••••••••• F•••••••• P•••••••left Dec 1, 2010, registered Nov 8, 2010 (-23 days) · corporate re-registration, not a move
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
- Institutional managerderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address