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.
- M•• A•••••••• L•• state registered currentsince Apr 17, 2015 · Katy, Tx
- J••••• G••••• • C••• L•• formerDec 8, 2008 to Sep 2, 2009 · Uniondale, Ny
- O••••••••• • C•• I••• BD affiliatedFeb 10, 2006 to Dec 1, 2008 · New York, Ny
- J••••• G••••• • C••• L•• to M•• A•••••••• L••left Sep 2, 2009, registered Apr 17, 2015 (2053 days) · Other
- O••••••••• • C•• I••• to J••••• G••••• • C••• L••left Dec 1, 2008, registered Dec 8, 2008 (7 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
- STATE REGISTEREDderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address