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.
I•••••• H••••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Jun 30, 2023 · Portsmouth, Nh
- V••••••• W••••• M••••••••• formerSep 24, 2018 to Jul 20, 2023 · Portsmouth, Nh
- W•••••• B•••• • C•••••• L••••• BD affiliatedAug 8, 2014 to Sep 11, 2018 · Chicago, Il
- R•••••••• I••••••••• formerNov 3, 2010 to Aug 12, 2016 · New York, Ny
- W•••••• B•••• • C•••••• L••••• BD affiliatedJan 20, 2005 to Aug 19, 2009 · Chicago, Il
- R•••• A•••• M••••••••• L•• unclassifiedAug 23, 2001 to Dec 15, 2004 · Conshohocken, Pa
- V••••••• W••••• M••••••••• to H•••••••• A•••••••• L••left Jul 20, 2023, registered Jun 30, 2023 (-20 days) · RIA to affiliated broker-dealer or bank · moved with a team
- W•••••• B•••• • C•••••• L••••• to V••••••• W••••• M•••••••••left Sep 11, 2018, registered Sep 24, 2018 (13 days) · Affiliated broker-dealer or bank to independent RIA
- R•••••••• I••••••••• to W•••••• B•••• • C•••••• L•••••left Aug 12, 2016, registered Aug 8, 2014 (-735 days) · Other
- W•••••• B•••• • C•••••• L••••• to R•••••••• I•••••••••left Aug 19, 2009, registered Nov 3, 2010 (441 days) · Other
- R•••• A•••• M••••••••• L•• to W•••••• B•••• • C•••••• L•••••left Dec 15, 2004, registered Jan 20, 2005 (36 days) · Other
- I•••••• H•••••• left V••••••• W••••• M••••••••• for H•••••••• A•••••••• L•• (registered 2023-06-30)Jul 20, 2023 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address