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.
M•••••• J••••• L•••
- V••••• I••••••••• A•••••••• L•• asset manager currentsince Nov 19, 2018 · Spring, Tx
- V••••• C•••••• A•••••••• L•• otherSep 6, 2016 to Nov 19, 2018 · Spring, Tx
- O•• R•••• I••••••••• L•• independent RIAOct 17, 2014 to Aug 8, 2016 · Chicago, Il
- U•• F•••••••• S••••••• I••• wirehouseNov 9, 2004 to May 11, 2009 · Weehawken, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 20, 2000 to Nov 18, 2004 · Plainsboro, Nj
- V••••• C•••••• A•••••••• L•• to V••••• I••••••••• A•••••••• L••left Nov 19, 2018, registered Nov 19, 2018 (0 days) · channel change inside one enterprise, not a move · moved with a team
- O•• R•••• I••••••••• L•• to V••••• C•••••• A•••••••• L••left Aug 8, 2016, registered Sep 6, 2016 (29 days) · Other
- U•• F•••••••• S••••••• I••• to O•• R•••• I••••••••• L••left May 11, 2009, registered Oct 17, 2014 (1985 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 18, 2004, registered Nov 9, 2004 (-9 days) · Wirehouse to wirehouse
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address