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.
B•••• J• G••••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Jun 9, 2020 · Chicago, Il
- U••• F•••••••• A••••••• formerMar 7, 2012 to Jun 1, 2020 · Wilmington, De
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2009 to Mar 5, 2012 · Hingham, Ma
- U••• F•••••••• A••••••• to I•• W••••• M••••••••• L••left Jun 1, 2020, registered Jun 9, 2020 (8 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• A•••••••left Mar 5, 2012, registered Mar 7, 2012 (2 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address