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.
P••• A• M••••••
- N•• Y••• L••• I••••••••• M••••••••• L•• asset manager currentsince May 3, 2019 · New Y•••, Ny
- T•••••••• I••••••••• M••••••••• I•• asset managerMay 23, 2013 to Mar 29, 2019 · Santa Fe, Nm
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 26, 2011 to May 14, 2013 · Albuquerque, Nm
- E••••• J•••• national BDMar 4, 2008 to Jul 12, 2011 · Cedar Crest, Nm
- T•••••••• I••••••••• M••••••••• I•• to N•• Y••• L••• I••••••••• M••••••••• L••left Mar 29, 2019, registered May 3, 2019 (35 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T•••••••• I••••••••• M••••••••• I••left May 14, 2013, registered May 23, 2013 (9 days) · Other
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 12, 2011, registered Jul 26, 2011 (14 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address