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••••• C•••••
- B• R•••• W••••• A•••••••• I••• BD affiliated currentsince Oct 21, 2021 · New York, Ny
- F•••••• L••• A•••• M••••••••• L•• formerJul 2, 2013 to Feb 25, 2014 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseDec 1, 2006 to Jul 22, 2013 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedOct 14, 2005 to Dec 4, 2006 · New York, Ny
- F•••••• L••• A•••• M••••••••• L•• to B• R•••• W••••• A•••••••• I•••left Feb 25, 2014, registered Oct 21, 2021 (2795 days) · Other
- U•• F•••••••• S••••••• I••• to F•••••• L••• A•••• M••••••••• L••left Jul 22, 2013, registered Jul 2, 2013 (-20 days) · Other
- O••••••••• • C•• I••• to U•• F•••••••• S••••••• I•••left Dec 4, 2006, registered Dec 1, 2006 (-3 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address