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• P••• D•••••
- M•••••• BD affiliated currentsince Oct 1, 2021 · Wilmington, De
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedAug 21, 2020 to Oct 12, 2021 · Wilmington, De
- F•• W••••• M••••••••• L•• formerMar 22, 2016 to Dec 31, 2020 · Wilmington, De
- F•• W••••• M••••••••• L•• formerDec 20, 2012 to Mar 23, 2016 · Chatham, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• to M••••••left Oct 12, 2021, registered Oct 1, 2021 (-11 days) · Affiliated broker-dealer or bank to another
- F•• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2020, registered Aug 21, 2020 (-132 days) · RIA to affiliated broker-dealer or bank
- F•• W••••• M••••••••• L•• to F•• W••••• M••••••••• L••left Mar 23, 2016, registered Mar 22, 2016 (-1 days) · channel change inside one enterprise, not a move · moved with a team
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address