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.
B•••• D•••• E•••
- L•• F•••••••• L•• BD affiliated currentsince Sep 4, 2018 · Accomac, Va
- C•••••• G•••• • C• I•• formerJun 15, 2012 to Sep 6, 2018 · Syracuse, Ny
- O•••• I••••••••• I••• BD affiliatedJun 1, 2008 to Jun 18, 2012 · Salisbury, Md
- B• I••••••••• L•• unclassifiedJun 22, 2004 to Jun 1, 2008 · Salisbury, Md
- A••••••••• F•••••••• S•••••••• L•• national BDOct 27, 1998 to Jun 22, 2004 · Bethesda, Md
- C•••••• G•••• • C• I•• to L•• F•••••••• L••left Sep 6, 2018, registered Sep 4, 2018 (-2 days) · RIA to RIA
- O•••• I••••••••• I••• to C•••••• G•••• • C• I••left Jun 18, 2012, registered Jun 15, 2012 (-3 days) · Other
- B• I••••••••• L•• to O•••• I••••••••• I•••left Jun 1, 2008, registered Jun 1, 2008 (0 days) · corporate re-registration, not a move
- A••••••••• F•••••••• S•••••••• L•• to B• I••••••••• L••left Jun 22, 2004, registered Jun 22, 2004 (0 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address