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•••••• P••••••••
- V•••• F•••••••• A•••••••• I••• BD affiliated currentsince Jan 15, 2019 · Houston, Tx
- O••••••••• S••••••••• I••• BD affiliatedMar 30, 2017 to Jan 11, 2019 · Parsippany, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 31, 2009 to Feb 26, 2016 · Florham Park, Nj
- O••••••••• S••••••••• I••• to V•••• F•••••••• A•••••••• I•••left Jan 11, 2019, registered Jan 15, 2019 (4 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• S••••••••• I•••left Feb 26, 2016, registered Mar 30, 2017 (398 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address