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••• V•••••• L••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 24, 2022 · New York, Ny
- C••• P•••••• A•••••••• L•• formerAug 24, 2022 to Jun 30, 2010 · New York, Ny
- W•••• F•••• A••••••• wirehouseMar 30, 2015 to Jul 13, 2022 · Minneapolis, Mn
- C•••• I••••••••• S••••••• C•••• formerSep 2, 2003 to Aug 18, 2005 · New York, Ny
- W•••• F•••• A••••••• to C••• P•••••• A•••••••• L••left Jul 13, 2022, registered Aug 24, 2022 (42 days) · Other
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 30, 2010, registered Aug 24, 2022 (4438 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Aug 18, 2005, registered Mar 30, 2015 (3511 days) · Other
- M••• V•••••• L•••• left W•••• F•••• A••••••• for C••• P•••••• A•••••••• L•• (registered 2022-08-24)Jul 13, 2022 · Advisor changed firm · fact
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