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.
P••• P••••• S•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 31, 2020 · Sarasota, Fl
- N•••••••• B••••• B• L•• no RAUMNov 19, 2009 to Aug 11, 2020 · New York, Ny
- H•••••• J• S••• C•••••• M••••••••• I••• independent RIAApr 13, 2007 to May 18, 2009 · Southport, Ct
- B•• I••••••••• C••••• I••• unclassifiedDec 1, 2005 to Aug 2, 2006 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 9, 2003 to Jun 3, 2004 · New York, Ny
- N•••••••• B••••• B• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 11, 2020, registered Jul 31, 2020 (-11 days) · Other
- H•••••• J• S••• C•••••• M••••••••• I••• to N•••••••• B••••• B• L••left May 18, 2009, registered Nov 19, 2009 (185 days) · Other
- B•• I••••••••• C••••• I••• to H•••••• J• S••• C•••••• M••••••••• I•••left Aug 2, 2006, registered Apr 13, 2007 (254 days) · Other
- C•••• I••••••••• S••••••• C•••• to B•• I••••••••• C••••• I•••left Jun 3, 2004, registered Dec 1, 2005 (546 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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address