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.
L•••• S•••• K•••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 18, 2019 · Morristown, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedMar 28, 2005 to Jul 23, 2019 · Morristown, Nj
- C•••••••• I••••••••• R•••••••• I••• unclassifiedSep 4, 2003 to Mar 28, 2005 · Spring Branch, Tx
- T•• A••••••• G••••• I••• unclassifiedApr 25, 2002 to Sep 6, 2003 · Somerville, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• to L•• F•••••••• L••left Jul 23, 2019, registered Jul 18, 2019 (-5 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••••• I••••••••• R•••••••• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 28, 2005, registered Mar 28, 2005 (0 days) · corporate re-registration, not a move
- T•• A••••••• G••••• I••• to C•••••••• I••••••••• R•••••••• I•••left Sep 6, 2003, registered Sep 4, 2003 (-2 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