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.
W•••••• A• W••••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Dec 19, 2014 · Morristown, Nj
- M•••• C••••••• A••••••• S•••••• BD affiliatedSep 2, 2010 to Dec 31, 2014 · Palm Beach Gardens, Fl
- I••••••••• A••••••• I••••••••• I••• unclassifiedMar 19, 2009 to Sep 7, 2010 · Harrison, Oh
- M•••• C••••••• A••••••• S•••••• to P•••••• A•••••• G••••• L••left Dec 31, 2014, registered Dec 19, 2014 (-12 days) · Other
- I••••••••• A••••••• I••••••••• I••• to M•••• C••••••• A••••••• S••••••left Sep 7, 2010, registered Sep 2, 2010 (-5 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address