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.
R•••••• J•••••• A••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Albany, Ny
- V••• F•••••••• A•••••••• I••• BD affiliatedNov 13, 2015 to Jun 9, 2021 · Albany, Ny
- C•••••• G•••• • C• I•• formerAug 20, 2012 to Sep 16, 2014 · Albany, Ny
- C••••• C••••••• L•• formerJan 17, 2012 to Aug 7, 2012 · Denver, Co
- I•••••• A•••••••• I••• asset managerJan 1, 2010 to Sep 9, 2011 · Atlanta, Ga
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedMay 10, 2002 to Jan 1, 2010 · Houston, Tx
- V••• F•••••••• A•••••••• I••• to C••••• I••••••••• A••••••• L••left Jun 9, 2021, registered Jun 29, 2023 (750 days) · corporate re-registration, not a move
- C•••••• G•••• • C• I•• to V••• F•••••••• A•••••••• I•••left Sep 16, 2014, registered Nov 13, 2015 (423 days) · Other
- C••••• C••••••• L•• to C•••••• G•••• • C• I••left Aug 7, 2012, registered Aug 20, 2012 (13 days) · Other
- I•••••• A•••••••• I••• to C••••• C••••••• L••left Sep 9, 2011, registered Jan 17, 2012 (130 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to I•••••• A•••••••• I•••left Jan 1, 2010, registered Jan 1, 2010 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address