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.
E••• S• W•••
- L•• F•••••••• L•• BD affiliated currentsince Jun 9, 2021 · Paramus, Nj
- M•• S••••••••• I••• unclassifiedFeb 3, 2021 to Jun 9, 2021 · Baltimore, Md
- H••• S••••••••• •••• I••• BD affiliatedMar 15, 2011 to Jan 25, 2021 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 6, 2004 to Mar 11, 2011 · New York, Ny
- M•• S••••••••• I••• to L•• F•••••••• L••left Jun 9, 2021, registered Jun 9, 2021 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to M•• S••••••••• I•••left Jan 25, 2021, registered Feb 3, 2021 (9 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Mar 11, 2011, registered Mar 15, 2011 (4 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address