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.
C•••••••• L••••• C••••••
- A•••••••• F•••• M••••••••• L•• asset manager currentsince Dec 22, 2016 · Blue Bell, Pa
- A•••••••• F•••• M••••••••• L•• asset managerJan 4, 2013 to Dec 31, 2014 · Wilmington, De
- M••••• S•••••• wirehouseJan 18, 2011 to Oct 19, 2011 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 16, 2005 to Jan 18, 2011 · New York, Ny
- M••••• S•••••• to A•••••••• F•••• M••••••••• L••left Oct 19, 2011, registered Jan 4, 2013 (443 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jan 18, 2011, registered Jan 18, 2011 (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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address