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.
M•••••• B••••
- P•• W••••• M••••••••• BD affiliated currentsince Mar 24, 2021 · Louisville, Ky
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerApr 2, 2019 to Oct 1, 2020 · Gibsonia, Pa
- P••••• I••••••••• M••••••••• L•• asset managerApr 17, 2015 to Mar 11, 2019 · Andover, Ma
- N•••••••• B••••• B• L•• no RAUMFeb 5, 2015 to Mar 25, 2015 · New Y•••, Ny
- A•••••• G••••• I•••••••• M•••••• A••••••• L•• formerFeb 26, 2003 to Aug 17, 2007 · Stamford, Ct
- N•• Y••• L••• I••••••••• M••••••••• L•• to P•• W••••• M•••••••••left Oct 1, 2020, registered Mar 24, 2021 (174 days) · Other
- P••••• I••••••••• M••••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••left Mar 11, 2019, registered Apr 2, 2019 (22 days) · Other
- N•••••••• B••••• B• L•• to P••••• I••••••••• M••••••••• L••left Mar 25, 2015, registered Apr 17, 2015 (23 days) · Other
- A•••••• G••••• I•••••••• M•••••• A••••••• L•• to N•••••••• B••••• B• L••left Aug 17, 2007, registered Feb 5, 2015 (2729 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