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.
T••••• A•••••• S•••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 11, 2021 · Manorville, Ny
- C••• B•••••••• S•••••••• I••• formerDec 8, 2011 to May 3, 2021 · Waverly, Ia
- C•••• I••••••••• S••••••• C•••• formerMay 4, 2007 to Dec 1, 2011 · Hampton Bays, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 1, 2007 to Feb 22, 2007 · Riverhead, Ny
- C••• B•••••••• S•••••••• I••• to L•• F•••••••• L••left May 3, 2021, registered Jun 11, 2021 (39 days) · Affiliated broker-dealer or bank to another
- C•••• I••••••••• S••••••• C•••• to C••• B•••••••• S•••••••• I•••left Dec 1, 2011, registered Dec 8, 2011 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Feb 22, 2007, registered May 4, 2007 (71 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address