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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- U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P•••••• independent RIA currentsince Apr 7, 2011 · Scottsdale, Az
- N•• E•••••• S••••••••• C••••••••• formerMar 31, 2008 to Oct 28, 2010 · Fairfield, Nj
- T•••• T•••••• L•• unclassifiedAug 31, 2005 to Sep 30, 2006 · Scottsdale, Az
- N•• E•••••• S••••••••• C••••••••• to U••••• P•••••••• F•••••••• S••••••• O• A•••••• A• L•••••• P••••••left Oct 28, 2010, registered Apr 7, 2011 (161 days) · Other
- T•••• T•••••• L•• to N•• E•••••• S••••••••• C•••••••••left Sep 30, 2006, registered Mar 31, 2008 (548 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address