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.
H••• A••• K••••••••
- N•••••••• B••••• B• L•• no RAUM currentsince Mar 25, 2021 · New York, Ny
- C•••••• S••••• • C••• I••• national BDFeb 22, 2005 to Dec 13, 2005 · San Francisco, Ca
- R•••••• C•••••• M••••••••• L•• formerOct 2, 2000 to Jul 30, 2003 · Santa Monica, Ca
- C•••••• S••••• • C••• I••• to N•••••••• B••••• B• L••left Dec 13, 2005, registered Mar 25, 2021 (5581 days) · Affiliated broker-dealer or bank to a newly registered adviser
- R•••••• C•••••• M••••••••• L•• to C•••••• S••••• • C••• I•••left Jul 30, 2003, registered Feb 22, 2005 (573 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
- No RAUM reportedderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address