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.
R•••••• N••••• D••••
- E•• F•••••••• A••••••• independent RIA currentsince Jul 20, 2016 · Montpelier, Vt
- H•••••• T••••••• • K•••• L•• independent RIAMar 17, 2010 to Feb 2, 2016 · Dallas, Tx
- A•• I••••••••• S•••••••• I••• asset managerMar 24, 2006 to Dec 31, 2009 · Shelton, Ct
- P•••• S••••••••• L•• no RAUMFeb 27, 2003 to Jan 19, 2005 · Newark, Nj
- H•••••• T••••••• • K•••• L•• to E•• F•••••••• A•••••••left Feb 2, 2016, registered Jul 20, 2016 (169 days) · Other
- A•• I••••••••• S•••••••• I••• to H•••••• T••••••• • K•••• L••left Dec 31, 2009, registered Mar 17, 2010 (76 days) · Other
- P•••• S••••••••• L•• to A•• I••••••••• S•••••••• I•••left Jan 19, 2005, registered Mar 24, 2006 (429 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address