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.
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- N••••• I••••••••• M••••••••• B••••••• T•••• asset manager currentsince Apr 20, 2020 · Philadelphia, Pa
- D••••••• C•••••• M••••••••• A•••••••• I•• formerJan 29, 2018 to Apr 20, 2020 · Philadelphia, Pa
- L•• F•••••••• L•• BD affiliatedJul 29, 2010 to Jan 24, 2018 · Charlotte, Nc
- S••••••• C•••••• M••••••••• formerFeb 27, 2008 to Jun 30, 2009 · Portsmouth, Nh
- D••••••• C•••••• M••••••••• A•••••••• I•• to N••••• I••••••••• M••••••••• B••••••• T••••left Apr 20, 2020, registered Apr 20, 2020 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to D••••••• C•••••• M••••••••• A•••••••• I••left Jan 24, 2018, registered Jan 29, 2018 (5 days) · Other
- S••••••• C•••••• M••••••••• to L•• F•••••••• L••left Jun 30, 2009, registered Jul 29, 2010 (394 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address