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•••• L•••• D•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 24, 2020 · St. Petersburg, Fl
- N••••••• T•••• S••••••••• I•• BD affiliatedOct 21, 2009 to Dec 31, 2009 · Chicago, Il
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 8, 2009 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 6, 2003 to Jun 1, 2009 · Chicago, Il
- N••••••• T•••• S••••••••• I•• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2009, registered Jun 24, 2020 (3828 days) · Other
- M••••• S•••••• to N••••••• T•••• S••••••••• I••left Oct 8, 2009, registered Oct 21, 2009 (13 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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