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.
R••••• S•••• C••••
- S•••••••• S••••••••• BD affiliated currentsince Jul 2, 2019 · Boston, Ma
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 16, 2004 to Oct 14, 2004 · Virginia Beach, Va
- A••••••••• F•••••••• S•••••••• L•• national BDAug 25, 2000 to Feb 19, 2004 · Virginia Beach, Va
- M•• I•••••••• S•••••••• L•• to S•••••••• S•••••••••left Oct 14, 2004, registered Jul 2, 2019 (5374 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Feb 19, 2004, registered Apr 16, 2004 (57 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address