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.
W•••••• J••• M••••••
- V••••••• A•••••••• I••• BD affiliated currentsince Feb 10, 2021 · Malvern, Pa
- O•••••••• I••••••••• A•••••••• L•• unclassifiedSep 11, 2008 to Nov 4, 2009 · Ridgewood, Nj
- L••••• B••••••• I••• unclassifiedJan 3, 2007 to Mar 26, 2008 · New York, Ny
- N•••••••• B••••• B• L•• no RAUMOct 14, 2005 to Jan 12, 2007 · New York, Ny
- O•••••••• I••••••••• A•••••••• L•• to V••••••• A•••••••• I•••left Nov 4, 2009, registered Feb 10, 2021 (4116 days) · Other
- L••••• B••••••• I••• to O•••••••• I••••••••• A•••••••• L••left Mar 26, 2008, registered Sep 11, 2008 (169 days) · Other
- N•••••••• B••••• B• L•• to L••••• B••••••• I•••left Jan 12, 2007, registered Jan 3, 2007 (-9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address