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.
T•••••• B••• H•••
- P••••••••• S••••••••• C••••••••• independent RIA currentsince Sep 25, 2018 · Oviedo, Fl
- H•••••• J• S••• C•••••• M••••••••• I••• independent RIAJun 30, 2015 to Sep 5, 2018 · Naples, Fl
- J••••• M••••••••• S•••• L•• BD affiliatedAug 31, 2009 to Mar 11, 2014 · Albany, Ny
- A••••••••• A•••••• S•••••••• I••• unclassifiedMay 27, 2009 to Sep 8, 2009 · Detroit, Mi
- A••••••••• F•••••••• S•••••••• L•• national BDMay 27, 2009 to Aug 31, 2009 · Glastonbury, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 14, 2008 to Apr 29, 2009 · Buffalo, Ny
- H•••••• J• S••• C•••••• M••••••••• I••• to P••••••••• S••••••••• C•••••••••left Sep 5, 2018, registered Sep 25, 2018 (20 days) · RIA to RIA
- J••••• M••••••••• S•••• L•• to H•••••• J• S••• C•••••• M••••••••• I•••left Mar 11, 2014, registered Jun 30, 2015 (476 days) · Other
- A••••••••• A•••••• S•••••••• I••• to J••••• M••••••••• S•••• L••left Sep 8, 2009, registered Aug 31, 2009 (-8 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to A••••••••• A•••••• S•••••••• I•••left Aug 31, 2009, registered May 27, 2009 (-96 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 29, 2009, registered May 27, 2009 (28 days) · Wirehouse to affiliated broker-dealer or bank
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