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.
C••••••••• L• O••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Apr 24, 2018 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 7, 2014 to Apr 27, 2018 · New York, Ny
- D••••••• B••• S••••••••• I••• no RAUMApr 23, 2008 to Sep 19, 2012 · New York, Ny
- H••• S••••••••• •••• I••• to U•• F•••••••• S••••••• I•••left Apr 27, 2018, registered Apr 24, 2018 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- D••••••• B••• S••••••••• I••• to H••• S••••••••• •••• I•••left Sep 19, 2012, registered Jul 7, 2014 (656 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address