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••••• H•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 3, 2018 · Morristown, Nj
- I••••••••• P••••••••• I••• formerSep 10, 2012 to Sep 12, 2018 · San Antonio, Tx
- W•••• F•••• A••••••• wirehouseNov 22, 2004 to Sep 13, 2012 · Short Hills, Nj
- A• G• E•••••• • S•••• I••• unclassifiedOct 14, 2003 to Nov 24, 2004 · Morristown, Nj
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 12, 2018, registered Jul 3, 2018 (-71 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to I••••••••• P••••••••• I•••left Sep 13, 2012, registered Sep 10, 2012 (-3 days) · Other
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Nov 24, 2004, registered Nov 22, 2004 (-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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address