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.
M•••••• R•• P••••
- C••••••••• F•••••••• N•••••• national BD currentsince Oct 16, 2017 · Lawrenceville, Nj
- O••••••• P••••••• P••••••• S••••••••• L•• formerSep 16, 2013 to Dec 14, 2017 · Rockville, Md
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerFeb 1, 2007 to Oct 16, 2017 · Irvine, Ca
- O••••••• P••••••• P••••••• S••••••••• L•• to C••••••••• F•••••••• N••••••left Dec 14, 2017, registered Oct 16, 2017 (-59 days) · RIA to affiliated broker-dealer or bank
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to O••••••• P••••••• P••••••• S••••••••• L••left Oct 16, 2017, registered Sep 16, 2013 (-1491 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address