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.
S•••• A• P••••
- H•••••••• A•••••••• L•• BD affiliated currentsince Mar 18, 2021 · Waxhaw, Nc
- D••••••• S••••••••• L•• independent RIAJun 27, 2012 to May 3, 2019 · New York, Ny
- B••••••• C•••••• I••• formerMar 4, 2009 to Jul 3, 2012 · New York, Ny
- D••••••• S••••••••• L•• to H•••••••• A•••••••• L••left May 3, 2019, registered Mar 18, 2021 (685 days) · RIA to affiliated broker-dealer or bank · moved with a team
- B••••••• C•••••• I••• to D••••••• S••••••••• L••left Jul 3, 2012, registered Jun 27, 2012 (-6 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address