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••• D• V•• G••••
- W••••••••• A•••••••• L•• institutional currentsince Aug 19, 2021 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDAug 7, 2012 to Aug 4, 2021 · Florham Park, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 25, 2010 to Aug 7, 2012 · Short Hills, Nj
- A••••••••• F•••••••• S•••••••• L•• to W••••••••• A•••••••• L••left Aug 4, 2021, registered Aug 19, 2021 (15 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Aug 7, 2012, registered Aug 7, 2012 (0 days) · Wirehouse to affiliated broker-dealer or bank
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
- Institutional managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address