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••••• H••••••
- E•••• S••••••••• L•• BD affiliated currentsince Dec 15, 2016 · Clarksburg, Md
- E••••••••• W••••• A•••••••• I••• formerOct 18, 2013 to Jul 11, 2014 · Rockville, Md
- T•• R••••••••• G••••• L•• formerOct 17, 2011 to Nov 3, 2011 · San Diego, Ca
- N••• F•••••••• G••••• I••• formerJan 31, 2008 to Aug 30, 2011 · Houston, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 1, 2004 to Feb 1, 2008 · Kendall Park, Nj
- E••••••••• W••••• A•••••••• I••• to E•••• S••••••••• L••left Jul 11, 2014, registered Dec 15, 2016 (888 days) · Other
- T•• R••••••••• G••••• L•• to E••••••••• W••••• A•••••••• I•••left Nov 3, 2011, registered Oct 18, 2013 (715 days) · Other
- N••• F•••••••• G••••• I••• to T•• R••••••••• G••••• L••left Aug 30, 2011, registered Oct 17, 2011 (48 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••• F•••••••• G••••• I•••left Feb 1, 2008, registered Jan 31, 2008 (-1 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address