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.
A•••••••• F••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Dec 9, 2010 · New Haven, Ct
- S••••••• BD affiliatedJan 13, 2006 to Dec 14, 2010 · Little Rock, Ar
- L••• M•••• W••• W•••••• I••••••••• unclassifiedDec 7, 2005 to Feb 13, 2006 · New Haven, Ct
- R•• C•••••• M••••••• L•• national BDOct 16, 2003 to May 13, 2005 · New York, Ny
- S••••••• to J••••• M••••••••• S•••• L••left Dec 14, 2010, registered Dec 9, 2010 (-5 days) · Other
- L••• M•••• W••• W•••••• I••••••••• to S•••••••left Feb 13, 2006, registered Jan 13, 2006 (-31 days) · Other
- R•• C•••••• M••••••• L•• to L••• M•••• W••• W•••••• I•••••••••left May 13, 2005, registered Dec 7, 2005 (208 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address