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.
N••••• M•••••• B••••• D• K•••••••
- S•••••• C•••••• A••••••• L•• BD affiliated currentsince Apr 25, 2022 · New York, Ny
- D••••••• S••••••••• L•• independent RIAAug 15, 2018 to Apr 26, 2022 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedSep 29, 2015 to Aug 24, 2018 · New York, Ny
- D••••••• S••••••••• L•• to S•••••• C•••••• A••••••• L••left Apr 26, 2022, registered Apr 25, 2022 (-1 days) · RIA to affiliated broker-dealer or bank
- O••••••••• • C•• I••• to D••••••• S••••••••• L••left Aug 24, 2018, registered Aug 15, 2018 (-9 days) · Affiliated broker-dealer or bank to independent RIA
- N••••• M•••••• B••••• D• K••••••• left D••••••• S••••••••• L•• for S•••••• C•••••• A••••••• L•• (registered 2022-04-25)Apr 26, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address