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•••• L•••• F••••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Oct 16, 2015 · Allendale, Nj
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerDec 19, 2011 to Nov 13, 2015 · Allendale, Nj
- N•••••• F•••••••• G••••• I••• independent RIAJan 3, 2011 to Dec 23, 2011 · Cedar Rapids, Ia
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 13, 2015, registered Oct 16, 2015 (-28 days) · corporate re-registration, not a move
- N•••••• F•••••••• G••••• I••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Dec 23, 2011, registered Dec 19, 2011 (-4 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address