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.
M•••••• J••••• Z••••
- W•••• F•••• A••••••• wirehouse currentsince Feb 1, 2018 · Westport, Ct
- O••••••••• • C•• I••• BD affiliatedApr 4, 2017 to Jan 5, 2018 · Danbury, Ct
- S•••••••• I••••••••• M••••••••• formerOct 3, 2016 to Nov 25, 2016 · Saint Louis, Mo
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Mar 1, 2007 · Stamford, Ct
- T• A••••••••• I••• formerJan 12, 2004 to Mar 1, 2007 · Stamford, Ct
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left Jan 5, 2018, registered Feb 1, 2018 (27 days) · Other
- S•••••••• I••••••••• M••••••••• to O••••••••• • C•• I•••left Nov 25, 2016, registered Apr 4, 2017 (130 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Mar 1, 2007, registered Apr 25, 2006 (-310 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• I••••••••• M•••••••••left Mar 1, 2007, registered Oct 3, 2016 (3504 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
- Wirehousederived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address