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••• I••• independent RIA currentsince Jul 19, 2021 · Rock Hill, Ny
- N••• F•••••••• G••••• I••• formerMar 11, 2009 to Jul 20, 2021 · Houston, Tx
- A••••••• P••••••• C•••••• C••••••••• unclassifiedSep 26, 2007 to Mar 4, 2009 · E. Setauket, Ny
- N••• F•••••••• G••••• I••• to L••• I•••left Jul 20, 2021, registered Jul 19, 2021 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••• P••••••• C•••••• C••••••••• to N••• F•••••••• G••••• I•••left Mar 4, 2009, registered Mar 11, 2009 (7 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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address