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••••• S•••••• wirehouse currentsince Aug 26, 2019 · Ithaca, Ny
- M••••• S•••••• wirehouseFeb 11, 2014 to Jun 3, 2019 · Syracuse, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 22, 2010 to Feb 3, 2014 · Manchester, Nh
- C••••••• S••••••••• I••• BD affiliatedOct 13, 2009 to Oct 15, 2010 · Concord, Ma
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 22, 2005 to Apr 28, 2009 · Burlington, Ma
- F•••• C•••••• F•••••••• P•••••••• I••• formerSep 2, 2005 to Sep 23, 2005 · Concord , Ma
- F•••• C•••••• B••• unclassifiedJun 10, 2005 to Sep 2, 2005 · Fort Worth, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Feb 3, 2014, registered Feb 11, 2014 (8 days) · Wirehouse to wirehouse
- C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 15, 2010, registered Nov 22, 2010 (38 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Apr 28, 2009, registered Oct 13, 2009 (168 days) · Other
- F•••• C•••••• F•••••••• P•••••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Sep 23, 2005, registered Sep 22, 2005 (-1 days) · Other
- F•••• C•••••• B••• to F•••• C•••••• F•••••••• P•••••••• I•••left Sep 2, 2005, registered Sep 2, 2005 (0 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address