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.
J•••• M••••••• S•••••••
- O•••••• W••••• • L••••• M••••••••• L•• state registered currentsince Nov 21, 2017 · San Juan, Pr
- O•••• I••••••••• I••• BD affiliatedDec 8, 2009 to Aug 15, 2017 · Arlington, Va
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 26, 2009 to Nov 30, 2009 · Princeton, Nj
- W•••• F•••• A••••••• wirehouseJan 8, 2004 to Mar 9, 2009 · Robbinsville, Nj
- O•••• I••••••••• I••• to O•••••• W••••• • L••••• M••••••••• L••left Aug 15, 2017, registered Nov 21, 2017 (98 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O•••• I••••••••• I•••left Nov 30, 2009, registered Dec 8, 2009 (8 days) · Other
- W•••• F•••• A••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 9, 2009, registered Mar 26, 2009 (17 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