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.
S•••• F• T•••
- R••••• W• B•••• • C•• I••••••••• mixed wealth currentsince Jun 7, 2019 · Fort Worth, Tx
- C••••••••• I••••••••• L•• mixed wealthJan 15, 2008 to Jun 6, 2019 · New York, Ny
- T•• I••••••••• M••••••••• C•••••• L•• asset managerJan 16, 2007 to Dec 21, 2007 · Los Angeles, Ca
- C••••••••• I••••••••• L•• mixed wealthDec 15, 2005 to Jul 27, 2006 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 17, 2004 to Dec 21, 2005 · Dallas, Tx
- S••••• C•••••• M••••••••• I•• unclassifiedAug 31, 2001 to Apr 26, 2004 · Menomonee Falls, Wi
- C••••••••• I••••••••• L•• to R••••• W• B•••• • C•• I•••••••••left Jun 6, 2019, registered Jun 7, 2019 (1 days) · RIA to RIA
- T•• I••••••••• M••••••••• C•••••• L•• to C••••••••• I••••••••• L••left Dec 21, 2007, registered Jan 15, 2008 (25 days) · Other
- C••••••••• I••••••••• L•• to T•• I••••••••• M••••••••• C•••••• L••left Jul 27, 2006, registered Jan 16, 2007 (173 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••left Dec 21, 2005, registered Dec 15, 2005 (-6 days) · corporate re-registration, not a move
- S••••• C•••••• M••••••••• I•• to C•••••••• G••••• M•••••• I•••left Apr 26, 2004, registered Jun 17, 2004 (52 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address