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••• M•••••
- E•••••••• A•••••••• L•• national BD currentsince Jul 1, 2019 · New York, Ny
- E•• F•••••••• A••••••• independent RIAMar 6, 2014 to Dec 21, 2015 · Roseland, Nj
- H•••••• T••••••• • K•••• L•• independent RIAFeb 7, 2011 to Mar 17, 2014 · New York, Ny
- E•••••••• A•••••••• L•• national BDJul 1, 2008 to Jan 10, 2011 · New York, Ny
- E•• F•••••••• A••••••• to E•••••••• A•••••••• L••left Dec 21, 2015, registered Jul 1, 2019 (1288 days) · Other
- H•••••• T••••••• • K•••• L•• to E•• F•••••••• A•••••••left Mar 17, 2014, registered Mar 6, 2014 (-11 days) · Other
- E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••left Jan 10, 2011, registered Feb 7, 2011 (28 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address