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.
- F•••••• independent RIA currentsince May 11, 2021 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseSep 18, 2017 to May 27, 2019 · Weehawken, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 27, 2011 to Nov 16, 2016 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerOct 27, 2009 to Dec 1, 2010 · Staten Island, Ny
- U•• F•••••••• S••••••• I••• to F••••••left May 27, 2019, registered May 11, 2021 (715 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Nov 16, 2016, registered Sep 18, 2017 (306 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 1, 2010, registered May 27, 2011 (177 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