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.
L••• V•• S••• S•••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 16, 2018 · Washington, Dc
- M••••••• I••••••••• M••••••••• ••• L•• asset managerDec 13, 2012 to Jun 23, 2016 · Boston, Ma
- M••••••• I••••••••• M••••••••• ••• L•• asset managerFeb 26, 2008 to Feb 12, 2009 · Boston, Ma
- J••• H•••••• I••••••••• M••••••••• L•• asset managerApr 12, 2006 to Dec 31, 2010 · Boston, Ma
- B•• M••••• S••••••••• C••••••••• otherMay 4, 2005 to Apr 5, 2006 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 22, 2004 to Feb 10, 2005 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedJan 9, 2003 to Mar 26, 2004 · Lawrencevill, Nj
- M••••••• I••••••••• M••••••••• ••• L•• to U•• F•••••••• S••••••• I•••left Jun 23, 2016, registered Jan 16, 2018 (572 days) · Other
- J••• H•••••• I••••••••• M••••••••• L•• to M••••••• I••••••••• M••••••••• ••• L••left Dec 31, 2010, registered Feb 26, 2008 (-1039 days) · corporate re-registration, not a move
- B•• M••••• S••••••••• C••••••••• to J••• H•••••• I••••••••• M••••••••• L••left Apr 5, 2006, registered Apr 12, 2006 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to B•• M••••• S••••••••• C•••••••••left Feb 10, 2005, registered May 4, 2005 (83 days) · Other
- M••••• S•••••• D• I••• to C•••• I••••••••• S••••••• C••••left Mar 26, 2004, registered Mar 22, 2004 (-4 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address