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•••• J••••• Q••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Pasadena, Ca
- F•••• F•••••••• E••••• C••••••••• formerJan 26, 2021 to Apr 20, 2022 · New York, Ny
- S•••••••• F••••••••• I••• formerJan 13, 2020 to Jan 28, 2021 · Forest Lake, Mn
- E•••• S••••••••• L•• BD affiliatedMay 4, 2017 to Jan 8, 2020 · New York, Ny
- F•••• F•••••••• E••••• C••••••••• to C••••• I••••••••• A••••••• L••left Apr 20, 2022, registered Jun 29, 2023 (435 days) · corporate re-registration, not a move
- S•••••••• F••••••••• I••• to F•••• F•••••••• E••••• C•••••••••left Jan 28, 2021, registered Jan 26, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- E•••• S••••••••• L•• to S•••••••• F••••••••• I•••left Jan 8, 2020, registered Jan 13, 2020 (5 days) · Affiliated broker-dealer or bank to another
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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address