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.
E••••• P• S•••••••
- T••••••• A•••• M••••••••• L•• asset manager currentsince Nov 25, 2024 · Minneapolis, Mn
- N••••••••• A•••• M••••••••• L•• formerMay 14, 2012 to Apr 20, 2015 · Greenwich, Ct
- M••••••• I••••••••• M••••••••• ••• L•• asset managerJan 13, 2006 to Apr 30, 2012 · Boston, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerJan 13, 2006 to Dec 31, 2010 · Boston, Ma
- B••• A•••••••• L•• formerApr 28, 2005 to Sep 21, 2005 · New York, Ny
- C••••••• M••••••••• A•••••••• I••• unclassifiedSep 1, 2004 to Apr 28, 2005 · Boston, Ma
- S••••••• BD affiliatedJun 10, 2002 to Jan 1, 2003 · Charlotte , Nc
- N••••••••• A•••• M••••••••• L•• to T••••••• A•••• M••••••••• L••left Apr 20, 2015, registered Nov 25, 2024 (3507 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to N••••••••• A•••• M••••••••• L••left Apr 30, 2012, registered May 14, 2012 (14 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Dec 31, 2010, registered Jan 13, 2006 (-1813 days) · corporate re-registration, not a move
- B••• A•••••••• L•• to J••• H•••••• I••••••••• M••••••••• L••left Sep 21, 2005, registered Jan 13, 2006 (114 days) · Other
- C••••••• M••••••••• A•••••••• I••• to B••• A•••••••• L••left Apr 28, 2005, registered Apr 28, 2005 (0 days) · Other
- S••••••• to C••••••• M••••••••• A•••••••• I•••left Jan 1, 2003, registered Sep 1, 2004 (609 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address