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.
H•••••• A••••• S•••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince May 23, 2022 · Bronxville, Ny
- C••• P•••••• A•••••••• L•• formerAug 18, 2022 to Jun 30, 2010 · Bronxville, Ny
- R••••••• F•••••••• A•••••••• L•• independent RIAJun 7, 2018 to Aug 5, 2021 · Atlanta, Ga
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 12, 2005 to Mar 31, 2009 · Dallas, Tx
- R••••••• F•••••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 5, 2021, registered May 23, 2022 (291 days) · RIA to affiliated broker-dealer or bank
- C••• P•••••• A•••••••• L•• to no registered destinationleft Jun 30, 2010 · Departure, no registered destination
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R••••••• F•••••••• A•••••••• L••left Mar 31, 2009, registered Jun 7, 2018 (3355 days) · Wirehouse to independent RIA
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address