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.
D•••• J••• S•••••••
- D••••••••• F••• A••••••• L• asset manager currentsince Jun 24, 2013 · Austin, Tx
- S•• BD affiliatedFeb 14, 2012 to Oct 31, 2012 · Baltimore, Md
- M•• S••••••••• I••• unclassifiedMay 9, 2007 to Feb 3, 2012 · Baltimore, Md
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJun 15, 2001 to Mar 26, 2007 · Oak Brook, Il
- S•• to D••••••••• F••• A••••••• L•left Oct 31, 2012, registered Jun 24, 2013 (236 days) · Other
- M•• S••••••••• I••• to S••left Feb 3, 2012, registered Feb 14, 2012 (11 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to M•• S••••••••• I•••left Mar 26, 2007, registered May 9, 2007 (44 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address