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.
J••• H•••• H••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 26, 2008 · Chatham, Nj
- L••••• B••••••• I••• unclassifiedJun 19, 2006 to Oct 2, 2008 · New York, Ny
- F••••••• S••••••••• I••• independent RIAOct 7, 2003 to Apr 11, 2006 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseApr 5, 2002 to Aug 13, 2003 · Edison, Nj
- L••••• B••••••• I••• to U•• F•••••••• S••••••• I•••left Oct 2, 2008, registered Sep 26, 2008 (-6 days) · Other
- F••••••• S••••••••• I••• to L••••• B••••••• I•••left Apr 11, 2006, registered Jun 19, 2006 (69 days) · Other
- U•• F•••••••• S••••••• I••• to F••••••• S••••••••• I•••left Aug 13, 2003, registered Oct 7, 2003 (55 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address