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.
J•••••• C•••••• D••••
- L•• F•••••••• L•• BD affiliated currentsince Dec 5, 2024 · Dover, De
- B•••••• L••• A••••••• S•••••••• I••• BD affiliatedFeb 16, 2017 to Dec 6, 2024 · Dover, De
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 2, 2015 to Jan 25, 2017 · Milford, De
- C•••••••• F•••••••• G•••• A••••••• formerMay 21, 2010 to Feb 28, 2014 · Dover, De
- U•••• F•••••••• S••••••• G••••• I••• unclassifiedJul 2, 2009 to May 14, 2010 · Dover, De
- M•• F•••••••• S•••••••• I••• formerDec 17, 2007 to Jul 21, 2009 · Newark, De
- A••••••••• F•••••••• S•••••••• L•• national BDApr 12, 2007 to Jul 9, 2007 · Wilmington, De
- B•••••• L••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Dec 6, 2024, registered Dec 5, 2024 (-1 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to B•••••• L••• A••••••• S•••••••• I•••left Jan 25, 2017, registered Feb 16, 2017 (22 days) · Other
- C•••••••• F•••••••• G•••• A••••••• to M•• I•••••••• S•••••••• L••left Feb 28, 2014, registered Jul 2, 2015 (489 days) · Other
- U•••• F•••••••• S••••••• G••••• I••• to C•••••••• F•••••••• G•••• A•••••••left May 14, 2010, registered May 21, 2010 (7 days) · Other
- M•• F•••••••• S•••••••• I••• to U•••• F•••••••• S••••••• G••••• I•••left Jul 21, 2009, registered Jul 2, 2009 (-19 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 9, 2007, registered Dec 17, 2007 (161 days) · Other
- J•••••• C•••••• D•••• left B•••••• L••• A••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2024-12-05)Dec 6, 2024 · 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
- 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