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.
S•••••• E•••• C•••••••
- J•••••• M••••••• W••••• M••••••••• L•• independent RIA currentsince Sep 13, 2016 · Florham Park, Nj
- S•••••• N••••••• • C••••••• I••••••••• national BDAug 14, 2009 to Sep 9, 2016 · Mobile, Al
- U•• F•••••••• S••••••• I••• wirehouseNov 23, 2005 to Aug 14, 2009 · Weehawken, Nj
- A•••••• I••••••••• M••••••••• C•••••• L•• unclassifiedAug 25, 2003 to Oct 18, 2005 · Mobile, Al
- U•• F•••••••• S••••••• I••• wirehouseApr 12, 2000 to Jul 30, 2003 · Mobile, Al
- S•••••• N••••••• • C••••••• I••••••••• to J•••••• M••••••• W••••• M••••••••• L••left Sep 9, 2016, registered Sep 13, 2016 (4 days) · Other
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 14, 2009, registered Aug 14, 2009 (0 days) · Wirehouse to affiliated broker-dealer or bank
- A•••••• I••••••••• M••••••••• C•••••• L•• to U•• F•••••••• S••••••• I•••left Oct 18, 2005, registered Nov 23, 2005 (36 days) · Other
- U•• F•••••••• S••••••• I••• to A•••••• I••••••••• M••••••••• C•••••• L••left Jul 30, 2003, registered Aug 25, 2003 (26 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