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••• P••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 2, 2017 · Chicago, Il
- G••••••••• I••••••••• asset managerOct 26, 2010 to Oct 1, 2015 · New York, Ny
- R•••• A••••••• S•••••••• L•• unclassifiedJan 26, 2009 to Oct 28, 2010 · Rockville, Md
- Z•••• I••••••••• M••••••••• I••• mixed wealthJun 8, 2004 to Feb 11, 2005 · Chicago, Il
- G••••••••• I••••••••• to L•• F•••••••• L••left Oct 1, 2015, registered Aug 2, 2017 (671 days) · Other
- R•••• A••••••• S•••••••• L•• to G••••••••• I•••••••••left Oct 28, 2010, registered Oct 26, 2010 (-2 days) · Other
- Z•••• I••••••••• M••••••••• I••• to R•••• A••••••• S•••••••• L••left Feb 11, 2005, registered Jan 26, 2009 (1445 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address