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.
C•••• D•••••• M•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 21, 2021 · Fernandina Beach,, Fl
- W•••••• • R••• formerMar 6, 2020 to Jul 21, 2021 · Charleston, Sc
- H•••••• S••••••••• I••• BD affiliatedMay 27, 2014 to Apr 3, 2020 · San Diego, Ca
- U•• F•••••••• S••••••• I••• wirehouseOct 28, 2008 to Jun 20, 2014 · San Diego, Ca
- E••••• J•••• national BDApr 28, 2006 to Oct 27, 2008 · San Marcos, Ca
- E•••• N••••••• S••••••••• I••• formerOct 26, 2005 to Apr 18, 2006 · W. Orange, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedAug 15, 2005 to Oct 25, 2005 · Cheshire, Ct
- E•••• N••••••• S••••••••• I••• formerMay 20, 2003 to Aug 16, 2005 · West Orange, Nj
- P••••••••• E••••• G••••• L•• unclassifiedJan 22, 1997 to May 19, 2003 · New Haven, Ct
- W•••••• • R••• to L•• F•••••••• L••left Jul 21, 2021, registered Jul 21, 2021 (0 days) · corporate re-registration, not a move
- H•••••• S••••••••• I••• to W•••••• • R•••left Apr 3, 2020, registered Mar 6, 2020 (-28 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to H•••••• S••••••••• I•••left Jun 20, 2014, registered May 27, 2014 (-24 days) · Other
- E••••• J•••• to U•• F•••••••• S••••••• I•••left Oct 27, 2008, registered Oct 28, 2008 (1 days) · Affiliated broker-dealer or bank to wirehouse
- E•••• N••••••• S••••••••• I••• to E••••• J••••left Apr 18, 2006, registered Apr 28, 2006 (10 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••• N••••••• S••••••••• I•••left Oct 25, 2005, registered Oct 26, 2005 (1 days) · Other
- E•••• N••••••• S••••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 16, 2005, registered Aug 15, 2005 (-1 days) · Other
- P••••••••• E••••• G••••• L•• to E•••• N••••••• S••••••••• I•••left May 19, 2003, registered May 20, 2003 (1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address