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••• J••• J••••
- H•••••••• A•••••••• L•• BD affiliated currentsince May 11, 2015 · Chicago, Il
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 5, 2014 to May 22, 2015 · Washington, Dc
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 17, 2013 to Aug 21, 2014 · Washington, Dc
- T• A••••••••• I••• formerDec 17, 2013 to Aug 21, 2014 · Washington, Dc
- E•••••• C•••••• M••••••••• L•• formerOct 1, 2012 to Dec 5, 2013 · Arlington, Va
- L•• F•••••••• L•• BD affiliatedMar 23, 2011 to Jul 16, 2012 · Rockville, Md
- T•• M••••• F•••••••• G••••• L•• independent RIADec 21, 2006 to Sep 15, 2010 · Chicago, Il
- C•••••••• G••••• M•••••• I••• to H•••••••• A•••••••• L••left May 22, 2015, registered May 11, 2015 (-11 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Aug 21, 2014, registered Dec 17, 2013 (-247 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 21, 2014, registered Sep 5, 2014 (15 days) · Other
- E•••••• C•••••• M••••••••• L•• to T• A••••••••• I•••left Dec 5, 2013, registered Dec 17, 2013 (12 days) · Other
- L•• F•••••••• L•• to E•••••• C•••••• M••••••••• L••left Jul 16, 2012, registered Oct 1, 2012 (77 days) · Other
- T•• M••••• F•••••••• G••••• L•• to L•• F•••••••• L••left Sep 15, 2010, registered Mar 23, 2011 (189 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address