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••••• R• C•••••••
- N••••• A•••• M••••••••• L•• mixed wealth currentsince Sep 17, 2015 · Chicago, Il
- W•••• F•••• A••••••• wirehouseJul 21, 2008 to Apr 2, 2014 · Denver, Co
- M••••••• I••••••••• M••••••••• ••• L•• asset managerSep 13, 2003 to Oct 10, 2006 · Boston, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerSep 9, 2003 to Oct 10, 2006 · Boston, Ma
- W•••• F•••• A••••••• to N••••• A•••• M••••••••• L••left Apr 2, 2014, registered Sep 17, 2015 (533 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Oct 10, 2006, registered Sep 13, 2003 (-1123 days) · Other
- M••••••• I••••••••• M••••••••• ••• L•• to W•••• F•••• A•••••••left Oct 10, 2006, registered Jul 21, 2008 (650 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address