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.
T•••••• S••••••
- C•••••• S••••• • C••• I••• national BD currentsince Mar 10, 2022 · Berkeley, Ca
- G•••• L•••• A•••••••• L•• otherMar 23, 2016 to Jun 17, 2021 · Chicago, Il
- W••••••• I••••••••• formerMar 23, 2016 to Jun 17, 2021 · Chicago, Il
- W•• I••••••••• I••• formerNov 13, 2007 to Feb 7, 2014 · San Francisco, Ca
- G•••• L•••• A•••••••• L•• to C•••••• S••••• • C••• I•••left Jun 17, 2021, registered Mar 10, 2022 (266 days) · Other
- W••••••• I••••••••• to G•••• L•••• A•••••••• L••left Jun 17, 2021, registered Mar 23, 2016 (-1912 days) · channel change inside one enterprise, not a move
- W•• I••••••••• I••• to W••••••• I•••••••••left Feb 7, 2014, registered Mar 23, 2016 (775 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address