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.
B•••• M•••••• M•••••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 25, 2021 · New York, Ny
- T• A••••••••• I••• formerMay 23, 2013 to Jun 2, 2015 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 20, 2013 to Jun 2, 2015 · New York City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 13, 2010 to May 3, 2013 · Pennington, Nj
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jun 2, 2015, registered May 23, 2013 (-740 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to A••••• A•• P••••••• S•••••••left Jun 2, 2015, registered May 25, 2021 (2184 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to T• A••••••••• I••••••••• M••••••••• L••left May 3, 2013, registered May 20, 2013 (17 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address