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.
M•••••• W•••••• R••••
- O•••• I••••••••• I••• BD affiliated currentsince Jul 1, 2016 · Kingston, Ny
- E•••• N••••••• S••••••••• I••• formerNov 4, 2009 to Jul 1, 2016 · Paramus, Nj
- B•••••••• F••• A••••••• asset managerOct 10, 2007 to Apr 8, 2009 · New York, Ny
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedApr 24, 2007 to Sep 6, 2007 · Houston, Tx
- I•••••• A•• P•••••• A•••• M••••••••• I••• unclassifiedJun 7, 2002 to Feb 6, 2006 · Houston, Tx
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- B•••••••• F••• A••••••• to E•••• N••••••• S••••••••• I•••left Apr 8, 2009, registered Nov 4, 2009 (210 days) · Other
- I•••••• A•• P•••••• A•••• M••••••••• I••• to B•••••••• F••• A•••••••left Sep 6, 2007, registered Oct 10, 2007 (34 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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address