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.
- F•••••• independent RIA currentsince Sep 20, 2021 · San Francisco, Ca
- P••••••• C•••••• A••••••• C••••••••• formerSep 1, 2020 to Jan 11, 2021 · Greenwood Village, Co
- E•••• S••••••••• L•• BD affiliatedJul 10, 2019 to Jan 2, 2020 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseMay 21, 2015 to Apr 12, 2019 · New Milford, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 3, 2012 to Mar 26, 2015 · Oakland, Nj
- P••••••• C•••••• A••••••• C••••••••• to F••••••left Jan 11, 2021, registered Sep 20, 2021 (252 days) · RIA to RIA
- E•••• S••••••••• L•• to P••••••• C•••••• A••••••• C•••••••••left Jan 2, 2020, registered Sep 1, 2020 (243 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to E•••• S••••••••• L••left Apr 12, 2019, registered Jul 10, 2019 (89 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Mar 26, 2015, registered May 21, 2015 (56 days) · Wirehouse to wirehouse
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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address