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•••• T•••••••••
- T••••••••• F•••••••• A••••••• L•• independent RIA currentsince Oct 5, 2018 · Clinton, Nj
- I• A••••••• S•••••••• I••• formerJul 6, 2007 to Oct 5, 2018 · Bedminster, Nj
- E•••••• A•••••••• L••• independent RIAJan 4, 2007 to Jul 5, 2007 · West Lake Hills, Tx
- E•••••• A•••••••• L••• independent RIANov 8, 2004 to Dec 31, 2005 · Clinton, Nj
- 1••• C•••••• M••••••••• C•••••• unclassifiedJul 2, 2001 to Nov 1, 2004 · Clinton, Nj
- I• A••••••• S•••••••• I••• to T••••••••• F•••••••• A••••••• L••left Oct 5, 2018, registered Oct 5, 2018 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser
- E•••••• A•••••••• L••• to I• A••••••• S•••••••• I•••left Jul 5, 2007, registered Jul 6, 2007 (1 days) · Other
- 1••• C•••••• M••••••••• C•••••• to E•••••• A•••••••• L•••left Nov 1, 2004, registered Nov 8, 2004 (7 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address