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.
C•••• E••••••• G••••
- R•• S••••••••• I••• BD affiliated currentsince Aug 26, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseDec 18, 2018 to Aug 10, 2021 · Minneapolis, Mn
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 4, 2008 to Oct 10, 2018 · Los Angeles, Ca
- W•••• F•••• A••••••• to R•• S••••••••• I•••left Aug 10, 2021, registered Aug 26, 2021 (16 days) · Wirehouse to independent RIA
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Oct 10, 2018, registered Dec 18, 2018 (69 days) · Affiliated broker-dealer or bank 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
- 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