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.
D•••• J•••• L••••
- L•••• F•••••••• G•••• L•• state registered currentsince Oct 13, 2023 · Littleton, Co
- S••••• M••••••••• independent RIAJan 13, 2017 to Dec 31, 2023 · New York, Ny
- C•••••• W••••• M••••••••• formerNov 11, 2014 to Apr 13, 2017 · New York, Ny
- A•••••••• I••••••••• independent RIAJan 30, 2013 to Nov 11, 2014 · Pittsburgh, Pa
- S••••• M••••••••• to L•••• F•••••••• G•••• L••left Dec 31, 2023, registered Oct 13, 2023 (-79 days) · RIA to a state-registered adviser
- C•••••• W••••• M••••••••• to S••••• M•••••••••left Apr 13, 2017, registered Jan 13, 2017 (-90 days) · Other · moved with a team
- A•••••••• I••••••••• to C•••••• W••••• M•••••••••left Nov 11, 2014, registered Nov 11, 2014 (0 days) · Other
- D•••• J•••• L•••• left S••••• M••••••••• for L•••• F•••••••• G•••• L•• (registered 2023-10-13)Dec 31, 2023 · Advisor changed firm · fact
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
- STATE REGISTEREDderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address