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.
S•••• A••• T•••••
- B••••••••• A•••• M••••••••• L•• independent RIA currentsince Jun 8, 2017 · Jupiter, Fl
- N••• F•••••••• G••••• I••• formerSep 1, 2011 to May 17, 2017 · Houston, Tx
- V•••• C••••••• I••• independent RIAJan 31, 2011 to Aug 31, 2011 · Maple Shade, Nj
- W••••• S••••• S••••••••• I••• formerJul 26, 2007 to Sep 1, 2011 · Maple Shade, Nj
- C••• R••••••••• P••• A••••••• S••••••• institutionalAug 22, 2000 to May 23, 2003 · Plymouth Meeting, Pa
- N••• F•••••••• G••••• I••• to B••••••••• A•••• M••••••••• L••left May 17, 2017, registered Jun 8, 2017 (22 days) · Other
- W••••• S••••• S••••••••• I••• to V•••• C••••••• I•••left Sep 1, 2011, registered Jan 31, 2011 (-213 days) · Other
- V•••• C••••••• I••• to N••• F•••••••• G••••• I•••left Aug 31, 2011, registered Sep 1, 2011 (1 days) · Other
- C••• R••••••••• P••• A••••••• S••••••• to W••••• S••••• S••••••••• I•••left May 23, 2003, registered Jul 26, 2007 (1525 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address