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• B••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Sep 23, 2015 · Morristown, Nj
- M••••• S•••••• wirehouseApr 19, 2013 to Sep 15, 2015 · Traverse City, Mi
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 27, 2012 to Oct 29, 2012 · Chicago, Il
- M••••• S•••••• to P•••••• A•••••• G••••• L••left Sep 15, 2015, registered Sep 23, 2015 (8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Oct 29, 2012, registered Apr 19, 2013 (172 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address