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.
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- W••••••••• A••••••• independent RIA currentsince Dec 14, 2018 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 27, 2014 to Mar 8, 2017 · New York, Ny
- W•••••• B•••• • C•••••• L••••• BD affiliatedJul 19, 2006 to Aug 2, 2007 · Chicago, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 29, 1996 to Jul 31, 2006 · Louisville, Ky
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••••• A•••••••left Mar 8, 2017, registered Dec 14, 2018 (646 days) · Wirehouse to independent RIA
- W•••••• B•••• • C•••••• L••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 2, 2007, registered May 27, 2014 (2490 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••••• B•••• • C•••••• L•••••left Jul 31, 2006, registered Jul 19, 2006 (-12 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
- Independent wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address