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.
D•••• J• M••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 8, 2014 · New York, Ny
- E•••••• C•••••• M••••••••• L•• formerJul 5, 2011 to Apr 14, 2014 · Arlington, Va
- P••••••••• S••••••••• C••••••••• independent RIAJun 2, 2009 to Jan 15, 2010 · Tallahassee, Fl
- V••• F•••••••• P•••••••• L•• formerAug 30, 2006 to Mar 3, 2009 · Winter Springs, Fl
- E•••••• C•••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 14, 2014, registered Sep 8, 2014 (147 days) · Other
- P••••••••• S••••••••• C••••••••• to E•••••• C•••••• M••••••••• L••left Jan 15, 2010, registered Jul 5, 2011 (536 days) · Other
- V••• F•••••••• P•••••••• L•• to P••••••••• S••••••••• C•••••••••left Mar 3, 2009, registered Jun 2, 2009 (91 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address