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.
J••• D••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 24, 2012 · Guilford, Ct
- U•• F•••••••• S••••••• I••• wirehouseOct 28, 2004 to Aug 31, 2012 · Westport, Ct
- S•••••••• C•••••• M••••••••• C••••••••• formerMay 29, 2003 to Aug 10, 2004 · New Haven, Ct
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 31, 2012, registered Sep 24, 2012 (24 days) · Wirehouse to wirehouse
- S•••••••• C•••••• M••••••••• C••••••••• to U•• F•••••••• S••••••• I•••left Aug 10, 2004, registered Oct 28, 2004 (79 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address