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.
O••••• A•••••• S•••••
- V••• R••••••••• A•••••••• L•• other currentsince Jul 14, 2023 · Darien, Ct
- M••••• O• O•••• I••••••• S•••••••• I••• independent RIAJul 25, 2012 to Jul 8, 2015 · Worthington, Oh
- M••••• S•••••• wirehouseMay 24, 2011 to Mar 28, 2012 · New York, Ny
- M••••• O• O•••• I••••••• S•••••••• I••• to V••• R••••••••• A•••••••• L••left Jul 8, 2015, registered Jul 14, 2023 (2928 days) · Other
- M••••• S•••••• to M••••• O• O•••• I••••••• S•••••••• I•••left Mar 28, 2012, registered Jul 25, 2012 (119 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- Other adviserderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address