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.
A••• K•••• B•••••
- R•• C•••••• M••••••• L•• national BD currentsince Oct 5, 2022 · Florham Park, Nj
- E•• P•••••• W••••• M••••••••• ••••••••• C•••• mixed wealthAug 16, 2016 to Sep 26, 2019 · Chanhassen, Mn
- E•• C•••••• A••••••• I••• formerJan 19, 2016 to Feb 22, 2019 · Miami, Fl
- E•• P•••••• W••••• M••••••••• ••••••••• C•••• mixed wealthJun 25, 2014 to Jul 2, 2015 · Miami, Fl
- E•• P•••••• W••••• M••••••••• ••••••••• C•••• to R•• C•••••• M••••••• L••left Sep 26, 2019, registered Oct 5, 2022 (1105 days) · RIA to affiliated broker-dealer or bank
- E•• C•••••• A••••••• I••• to E•• P•••••• W••••• M••••••••• ••••••••• C••••left Feb 22, 2019, registered Aug 16, 2016 (-920 days) · Other
- E•• P•••••• W••••• M••••••••• ••••••••• C•••• to E•• C•••••• A••••••• I•••left Jul 2, 2015, registered Jan 19, 2016 (201 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address