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.
E•••• S•••••••
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliated currentsince Apr 26, 2018 · Stamford, Ct
- W•••• F•••• A••••••• wirehouseJun 9, 2014 to Apr 30, 2018 · Portsmouth, Nh
- E•••••••• I••••••••• M••••••••• C• unclassifiedJan 5, 2010 to Jan 4, 2010 · Boston, Ma
- A•••••••• F•••• M••••••••• L•• asset managerJan 4, 2010 to May 19, 2014 · San Francisco, Ca
- W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left Apr 30, 2018, registered Apr 26, 2018 (-4 days) · Wirehouse to independent RIA · moved with a team
- A•••••••• F•••• M••••••••• L•• to E•••••••• I••••••••• M••••••••• C•left May 19, 2014, registered Jan 5, 2010 (-1595 days) · Other
- E•••••••• I••••••••• M••••••••• C• to W•••• F•••• A•••••••left Jan 4, 2010, registered Jun 9, 2014 (1617 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address