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.
L••• L•••••
- R•• C•••••• M••••••• L•• national BD currentsince Jan 30, 2023 · Providence, Ri
- J••• H•••••• D••••••••• L•• unclassifiedMar 3, 2006 to May 26, 2006 · Boston, Ma
- R•• C•••••• M••••••• L•• national BDSep 10, 2002 to Mar 24, 2005 · Minneapolis, Mn
- J••• H•••••• D••••••••• L•• to R•• C•••••• M••••••• L••left May 26, 2006, registered Jan 30, 2023 (6093 days) · Other
- R•• C•••••• M••••••• L•• to J••• H•••••• D••••••••• L••left Mar 24, 2005, registered Mar 3, 2006 (344 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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address