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.
P••• G••••• E••••••
- N•••••• G•••• C••••••••• L•• institutional currentsince May 1, 2017 · Belle Isle, Fl
- N•••••• G•••• S••••••••• I••• formerFeb 11, 2013 to Dec 21, 2017 · Lake Mary, Fl
- D•••••• independent RIAOct 1, 2012 to Dec 12, 2011 · Boston, Ma
- S••••• M••••••• C•••••• A•••••••• L•• unclassifiedSep 26, 2011 to Nov 28, 2011 · Norwell, Ma
- L••••••••• C••••••• L•• state registeredNov 5, 2010 to Sep 21, 2012 · Boston, Ma
- U••• F•••••••• A••••••• formerNov 16, 2009 to Nov 3, 2010 · Wilmington, De
- N•••••• G•••• S••••••••• I••• to N•••••• G•••• C••••••••• L••left Dec 21, 2017, registered May 1, 2017 (-234 days) · channel change inside one enterprise, not a move · moved with a team
- L••••••••• C••••••• L•• to S••••• M••••••• C•••••• A•••••••• L••left Sep 21, 2012, registered Sep 26, 2011 (-361 days) · Other
- D•••••• to N•••••• G•••• S••••••••• I•••left Dec 12, 2011, registered Feb 11, 2013 (427 days) · Other
- S••••• M••••••• C•••••• A•••••••• L•• to D••••••left Nov 28, 2011, registered Oct 1, 2012 (308 days) · Other
- U••• F•••••••• A••••••• to L••••••••• C••••••• L••left Nov 3, 2010, registered Nov 5, 2010 (2 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
- Institutional managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address