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.
S••••• H•••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince Mar 4, 2024 · Jonesport, Me
- S•••••••• F•••••••• A••••••• L•• formerMar 1, 2006 to Mar 19, 2024 · New York, Ny
- W•••••• • R••• formerMar 5, 2002 to Mar 7, 2006 · Independence, Mo
- S•••••••• F•••••••• A••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Mar 19, 2024, registered Mar 4, 2024 (-15 days) · Other
- W•••••• • R••• to S•••••••• F•••••••• A••••••• L••left Mar 7, 2006, registered Mar 1, 2006 (-6 days) · Other
- S••••• H••• left S•••••••• F•••••••• A••••••• L•• for C•••••••• I••••••••• R••••••• A•••••••• I••• (registered 2024-03-04)Mar 19, 2024 · 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address