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.
G••• A• F••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 13, 2014 · Akron, Oh
- B•••••••• I••••••••• M••••••••• L•• asset managerSep 29, 2006 to Mar 11, 2011 · Plainsboro, Nj
- M•••••• L•••• I••••••••• M••••••• L• unclassifiedApr 30, 2004 to Sep 29, 2006 · Cleveland, Oh
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedJun 21, 2002 to Feb 6, 2004 · Houston, Tx
- B•••••••• I••••••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 11, 2011, registered May 13, 2014 (1159 days) · Other
- M•••••• L•••• I••••••••• M••••••• L• to B•••••••• I••••••••• M••••••••• L••left Sep 29, 2006, registered Sep 29, 2006 (0 days) · corporate re-registration, not a move
- I•••••• A•• P•••••• A•••• M••••••••• I••• to M•••••• L•••• I••••••••• M••••••• L•left Feb 6, 2004, registered Apr 30, 2004 (84 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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address