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.
G•••••• C••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Dec 23, 2013 · Red Bank, Nj
- E•••• N••••••• S••••••••• I••• formerJun 11, 2013 to Dec 3, 2013 · Napa, Ca
- U•• F•••••••• S••••••• I••• wirehouseApr 20, 2011 to Oct 12, 2012 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 14, 2009 to Apr 25, 2011 · New York, Ny
- E•••• N••••••• S••••••••• I••• to U•• F•••••••• S••••••• I•••left Dec 3, 2013, registered Dec 23, 2013 (20 days) · Other
- U•• F•••••••• S••••••• I••• to E•••• N••••••• S••••••••• I•••left Oct 12, 2012, registered Jun 11, 2013 (242 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 25, 2011, registered Apr 20, 2011 (-5 days) · Wirehouse to wirehouse
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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address