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.
T•••••• J••• W•••••
- W••••• A•••••••• L•• state registered currentsince May 12, 2022 · Mechanicville, Ny
- M•••••••• A••••••• formerNov 16, 2006 to Sep 21, 2007 · Irvine, Ca
- T•• A••••••• S••••••• C••••••••• unclassifiedDec 6, 2005 to Apr 26, 2007 · Newport Beach, Ca
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedDec 11, 1997 to Oct 28, 2004 · Irvine, Ca
- M•••••••• A••••••• to W••••• A•••••••• L••left Sep 21, 2007, registered May 12, 2022 (5347 days) · Other
- T•• A••••••• S••••••• C••••••••• to M•••••••• A•••••••left Apr 26, 2007, registered Nov 16, 2006 (-161 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to T•• A••••••• S••••••• C•••••••••left Oct 28, 2004, registered Dec 6, 2005 (404 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
- STATE REGISTEREDderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address