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.
N•••• H••••• S•••••••
- I•• L••• W•••••• L•• bank affiliated currentsince Dec 15, 2023 · New York, Ny
- A••••••••• L••• otherOct 22, 2019 to Aug 13, 2021 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseNov 25, 2015 to Apr 9, 2019 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerOct 15, 2012 to Dec 18, 2015 · New York, Ny
- M••••••• T•• A••••••• G••••• L•• state registeredJun 26, 2008 to Apr 1, 2011 · Voorhees, Nj
- A••••••••• L••• to I•• L••• W•••••• L••left Aug 13, 2021, registered Dec 15, 2023 (854 days) · Other
- U•• F•••••••• S••••••• I••• to A••••••••• L•••left Apr 9, 2019, registered Oct 22, 2019 (196 days) · Other
- C••••• S••••• S••••••••• •••• L•• to U•• F•••••••• S••••••• I•••left Dec 18, 2015, registered Nov 25, 2015 (-23 days) · corporate re-registration, not a move
- M••••••• T•• A••••••• G••••• L•• to C••••• S••••• S••••••••• •••• L••left Apr 1, 2011, registered Oct 15, 2012 (563 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
- Bank affiliated wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address