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••••• A• R••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Nov 27, 2017 · Morristown, Nj
- B••••• G••••• A•••• M••••••••• BD affiliatedDec 7, 2012 to Oct 30, 2017 · B•••••, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 9, 2010 to Nov 20, 2012 · Mcallen, Tx
- B••••• G••••• A•••• M••••••••• to P•••••• A•••••• G••••• L••left Oct 30, 2017, registered Nov 27, 2017 (28 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••• G••••• A•••• M•••••••••left Nov 20, 2012, registered Dec 7, 2012 (17 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address