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••••• W••••• H••••••
- S•••••• C•••••• A••••••• L•• BD affiliated currentsince Apr 20, 2022 · New York, Ny
- D••••••• S••••••••• L•• independent RIAMar 24, 2014 to Apr 20, 2022 · New York, Ny
- N•••••••• B••••• B• L•• no RAUMJun 15, 2004 to Dec 3, 2013 · New York, Ny
- D••••••• S••••••••• L•• to S•••••• C•••••• A••••••• L••left Apr 20, 2022, registered Apr 20, 2022 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N•••••••• B••••• B• L•• to D••••••• S••••••••• L••left Dec 3, 2013, registered Mar 24, 2014 (111 days) · Other
- A••••• W••••• H•••••• left D••••••• S••••••••• L•• for S•••••• C•••••• A••••••• L•• (registered 2022-04-20)Apr 20, 2022 · Advisor changed firm · fact
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