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.
P••• A••••• B••••••
- N••••• A•••• M••••••••• L•• mixed wealth currentsince Sep 1, 2011 · Chicago, Il
- N••••• F••• A•••••••• L•• asset managerJul 26, 2011 to Sep 1, 2011 · Chicago, Il
- P••••• I••••••••• M••••••••• L•• asset managerJan 30, 2008 to Jun 15, 2011 · Andover, Ma
- P••••• I••••••••• M••••••••• L•• asset managerAug 4, 2006 to Jan 29, 2008 · Boston, Ma
- N••••• F••• A•••••••• L•• to N••••• A•••• M••••••••• L••left Sep 1, 2011, registered Sep 1, 2011 (0 days) · corporate re-registration, not a move
- P••••• I••••••••• M••••••••• L•• to N••••• F••• A•••••••• L••left Jun 15, 2011, registered Jul 26, 2011 (41 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address