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••••••• H••••• W•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 5, 2012 · Clarks Summit, Pa
- I••••••••• A••••••• S••••••• I•• formerOct 29, 2007 to Dec 31, 2010 · Ft. Lauderdale, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 23, 2000 to Feb 10, 2006 · New Haven, Ct
- I••••••••• A••••••• S••••••• I•• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2010, registered Dec 5, 2012 (705 days) · Other
- C•••••••• G••••• M•••••• I••• to I••••••••• A••••••• S••••••• I••left Feb 10, 2006, registered Oct 29, 2007 (626 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address