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.
L••• D••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Oregon, Wi
- S•• I••••••••• I••• formerAug 31, 2012 to Feb 15, 2018 · Brooklyn, Wi
- R••••••••• P••• A•••••••• L•• mixed wealthJan 5, 2009 to Aug 13, 2012 · Brooklyn, Wi
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedApr 9, 2007 to Dec 31, 2008 · Brooklyn, Wi
- S•• I••••••••• I••• to L•• F•••••••• L••left Feb 15, 2018, registered Feb 14, 2018 (-1 days) · corporate re-registration, not a move
- R••••••••• P••• A•••••••• L•• to S•• I••••••••• I•••left Aug 13, 2012, registered Aug 31, 2012 (18 days) · Other
- C•••••••• I••••••••• R••••••• A•••••••• I••• to R••••••••• P••• A•••••••• L••left Dec 31, 2008, registered Jan 5, 2009 (5 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address