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.
K•••• C•••••• B•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 8, 2022 · Hunt Valley, Md
- J••••• M••••••••• S•••• L•• BD affiliatedSep 30, 2020 to May 18, 2022 · New York, Ny
- W•••• F•••• A••••••• wirehouseJul 31, 2017 to Oct 6, 2020 · Walnut Creek, Ca
- U••• F•••••••• P••••••• S••••••• formerFeb 22, 2013 to Aug 14, 2017 · Mclean, Va
- P•••• S••••••••• L•• no RAUMFeb 20, 2009 to Jan 22, 2013 · East Hanover, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 8, 2002 to Jan 24, 2008 · New York, Ny
- J••••• M••••••••• S•••• L•• to A••••••••• F•••••••• S•••••••• L••left May 18, 2022, registered Sep 8, 2022 (113 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Oct 6, 2020, registered Sep 30, 2020 (-6 days) · Wirehouse to affiliated broker-dealer or bank
- U••• F•••••••• P••••••• S••••••• to W•••• F•••• A•••••••left Aug 14, 2017, registered Jul 31, 2017 (-14 days) · Other
- P•••• S••••••••• L•• to U••• F•••••••• P••••••• S•••••••left Jan 22, 2013, registered Feb 22, 2013 (31 days) · Other
- C•••••••• G••••• M•••••• I••• to P•••• S••••••••• L••left Jan 24, 2008, registered Feb 20, 2009 (393 days) · Other
- K•••• C•••••• B••••••• left J••••• M••••••••• S•••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-09-08)May 18, 2022 · Advisor changed firm · fact
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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address