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.
J••••• W•••••• D••••
- I•• W••••• M••••••••• L•• BD affiliated currentsince Aug 30, 2021 · Chicago, Il
- L•••••• W••••• M••••••••• L•• independent RIAJun 30, 2020 to Sep 24, 2021 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 27, 2011 to May 15, 2020 · New York, Ny
- L•••••• W••••• M••••••••• L•• to I•• W••••• M••••••••• L••left Sep 24, 2021, registered Aug 30, 2021 (-25 days) · RIA to RIA
- H••• S••••••••• •••• I••• to L•••••• W••••• M••••••••• L••left May 15, 2020, registered Jun 30, 2020 (46 days) · Affiliated broker-dealer or bank to independent RIA
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address