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.
- A••••••••• L••• other currentsince Dec 4, 2017 · New York, Ny
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 26, 2017 to Sep 7, 2017 · Tarrytown, Ny
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerMay 1, 2010 to Jul 30, 2015 · Minneapolis, Mn
- B••• A•••••••• L•• formerSep 19, 2005 to May 7, 2010 · Boston, Ma
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A••••••••• L•••left Sep 7, 2017, registered Dec 4, 2017 (88 days) · Other
- C••••••• M••••••••• I••••••••• A•••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jul 30, 2015, registered Jun 26, 2017 (697 days) · Other
- B••• A•••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••left May 7, 2010, registered May 1, 2010 (-6 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
- Other adviserderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address