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.
T•••• R••• D•••••
- H••••••• P•••• I••••••••• A•••••••• L•• independent RIA currentsince Jul 1, 2020 · Chapel Hill, Nc
- H••••••• P•••• I••••••••• A•••••••• L•• independent RIAJan 31, 2018 to Jan 29, 2019 · Chapel Hill, Nc
- U•• F•••••••• S••••••• I••• wirehouseFeb 23, 2009 to Feb 3, 2016 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 9, 2008 to Feb 25, 2009 · New York, Ny
- U•• F•••••••• S••••••• I••• to H••••••• P•••• I••••••••• A•••••••• L••left Feb 3, 2016, registered Jan 31, 2018 (728 days) · Wirehouse to independent RIA
- M••••• S•••••• • C•• L•• to U•• F•••••••• S••••••• I•••left Feb 25, 2009, registered Feb 23, 2009 (-2 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