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.
J••••• C•••••• R••••••••
- B•••••••• I••••••••• M••••••••• L•• asset manager currentsince Jun 22, 2011 · Hillsdale, Nj
- B•••••••• F••• A••••••• asset managerSep 21, 2009 to Sep 5, 2014 · San Francisco, Ca
- L•••••• F•••••••• D••••••••• I••• unclassifiedMar 19, 2008 to Sep 9, 2009 · Hillsdale, Nj
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 24, 2007 to Mar 4, 2008 · New York, Ny
- R••• B••• • C•• unclassifiedJul 23, 2004 to Aug 27, 2007 · Florham Park, Nj
- U•• F•••••••• S••••••• I••• wirehouseJun 3, 2002 to Nov 21, 2003 · Philadelphia, Pa
- B•••••••• F••• A••••••• to B•••••••• I••••••••• M••••••••• L••left Sep 5, 2014, registered Jun 22, 2011 (-1171 days) · channel change inside one enterprise, not a move
- L•••••• F•••••••• D••••••••• I••• to B•••••••• F••• A•••••••left Sep 9, 2009, registered Sep 21, 2009 (12 days) · Other
- S•••••• N••••••• • C••••••• I••••••••• to L•••••• F•••••••• D••••••••• I•••left Mar 4, 2008, registered Mar 19, 2008 (15 days) · Other
- R••• B••• • C•• to S•••••• N••••••• • C••••••• I•••••••••left Aug 27, 2007, registered Apr 24, 2007 (-125 days) · corporate re-registration, not a move
- U•• F•••••••• S••••••• I••• to R••• B••• • C••left Nov 21, 2003, registered Jul 23, 2004 (245 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address