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.
T••••• L•••• H••••••
- C••••• F••••••••• I••••••••• A••••••• mixed wealth currentsince Jan 9, 2024 · New York, Ny
- L•••• A••••• • C•• L•• asset managerOct 23, 2017 to May 15, 2019 · Jersey City, Nj
- N••••••••• M••••• I••••••••• S••••••••• no RAUMNov 30, 2016 to Dec 19, 2016 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 4, 2014 to Feb 25, 2016 · Jersey City, Nj
- L•••• A••••• • C•• L•• to C••••• F••••••••• I••••••••• A•••••••left May 15, 2019, registered Jan 9, 2024 (1700 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to L•••• A••••• • C•• L••left Dec 19, 2016, registered Oct 23, 2017 (308 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Feb 25, 2016, registered Nov 30, 2016 (279 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address