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.
T••••• K••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 16, 2016 · Dallas, Tx
- L•• F•••••••• L•• BD affiliatedOct 13, 2009 to Jul 5, 2016 · San Diego, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Oct 29, 2009 · New York, Ny
- C••••••• I••••••••• S••••••• unclassifiedMay 6, 2005 to May 29, 2007 · Bayside, Ny
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 5, 2016, registered Jun 16, 2016 (-19 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Oct 29, 2009, registered Oct 13, 2009 (-16 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address