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.
H•••• C•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jul 16, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseJun 23, 2014 to Jul 7, 2021 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseFeb 9, 2004 to Sep 13, 2004 · New York, Ny
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left Jul 7, 2021, registered Jul 16, 2021 (9 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Sep 13, 2004, registered Jun 23, 2014 (3570 days) · Wirehouse to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address