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.
E••• P•••••• G•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 14, 2021 · Paramus, Nj
- P••••• F•••••••• S•••••••• L•• formerNov 17, 2020 to Sep 8, 2021 · Darien, Ct
- N•••••••• B••••• B• L•• no RAUMMar 14, 2005 to Apr 21, 2009 · Tampa, Fl
- A••••••••• L••• otherApr 21, 2000 to Mar 9, 2005 · Tampa, Fl
- P••••• F•••••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 8, 2021, registered Oct 14, 2021 (36 days) · RIA to wirehouse
- N•••••••• B••••• B• L•• to P••••• F•••••••• S•••••••• L••left Apr 21, 2009, registered Nov 17, 2020 (4228 days) · Other
- A••••••••• L••• to N•••••••• B••••• B• L••left Mar 9, 2005, registered Mar 14, 2005 (5 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