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.
D•••• N••••• J•••••••
- E•• F•••••••• A••••••• independent RIA currentsince Jul 3, 2017 · Marlton, Nj
- H•••••• T••••••• • K•••• L•• independent RIAMar 27, 2014 to Jan 15, 2015 · Rochester, Ny
- E•••• S••••••••• L•• BD affiliatedOct 7, 2011 to Oct 10, 2013 · Fairport, Ny
- M•• F•••••••• S•••••••• I••• formerNov 5, 2004 to Oct 26, 2009 · Newark, De
- H•••••• T••••••• • K•••• L•• to E•• F•••••••• A•••••••left Jan 15, 2015, registered Jul 3, 2017 (900 days) · Other
- E•••• S••••••••• L•• to H•••••• T••••••• • K•••• L••left Oct 10, 2013, registered Mar 27, 2014 (168 days) · Other
- M•• F•••••••• S•••••••• I••• to E•••• S••••••••• L••left Oct 26, 2009, registered Oct 7, 2011 (711 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address