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••••• R•• R••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jul 22, 2024 · Morristown, Nj
- A•••••••• I••••••••• M••••••••• L•• formerSep 22, 2008 to Dec 31, 2019 · Naples, Fl
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerAug 15, 2003 to Dec 1, 2009 · West Palm Beach, Fl
- W••••• S••••• A••••••• I•• unclassifiedOct 4, 2001 to Aug 18, 2003 · Cedar Rapids, Ia
- J••• R•••• I••••••••• A••••••• unclassifiedOct 2, 2000 to Jan 15, 2009 · Cedar Rapids, Ia
- A•••••••• I••••••••• M••••••••• L•• to P•••••• A•••••• G••••• L••left Dec 31, 2019, registered Jul 22, 2024 (1665 days) · RIA to affiliated broker-dealer or bank · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to A•••••••• I••••••••• M••••••••• L••left Dec 1, 2009, registered Sep 22, 2008 (-435 days) · Other
- J••• R•••• I••••••••• A••••••• to W••••• S••••• A••••••• I••left Jan 15, 2009, registered Oct 4, 2001 (-2660 days) · Other
- W••••• S••••• A••••••• I•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Aug 18, 2003, registered Aug 15, 2003 (-3 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
- 46derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address