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••• C••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 23, 2024 · New York, Ny
- S••••••••• P•••••• C•••••• L•• independent RIAOct 13, 2023 to May 24, 2024 · Vero Beach, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedMar 27, 2023 to Aug 29, 2023 · Melbourne, Fl
- U•• F•••••••• S••••••• I••• wirehouseNov 18, 2011 to Sep 8, 2021 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 18, 2009 to Nov 22, 2011 · New York, Ny
- S••••••••• P•••••• C•••••• L•• to U•• F•••••••• S••••••• I•••left May 24, 2024, registered Jul 23, 2024 (60 days) · RIA to wirehouse
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S••••••••• P•••••• C•••••• L••left Aug 29, 2023, registered Oct 13, 2023 (45 days) · Affiliated broker-dealer or bank to a newly registered adviser
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Sep 8, 2021, registered Mar 27, 2023 (565 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 22, 2011, registered Nov 18, 2011 (-4 days) · Wirehouse to wirehouse
- T••• C•••••••• left S••••••••• P•••••• C•••••• L•• for U•• F•••••••• S••••••• I••• (registered 2024-07-23)May 24, 2024 · Advisor changed firm · fact
- T••• C•••••••• left R•••••• J•••• F•••••••• S••••••• A•••••••• I•• for S••••••••• P•••••• C•••••• L•• (registered 2023-10-13)Aug 29, 2023 · Advisor changed firm · fact
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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address