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.
A••• S•••
- L•• F•••••••• L•• BD affiliated currentsince Mar 20, 2020 · Wesley Chapel, Fl
- A•••• P•••••• W••••• A••••••• independent RIAAug 23, 2019 to Mar 27, 2020 · East Brunswick, Nj
- M••••• S•••••• wirehouseNov 22, 2011 to Mar 9, 2015 · Pittsburgh, Pa
- A•••• P•••••• W••••• A••••••• to L•• F•••••••• L••left Mar 27, 2020, registered Mar 20, 2020 (-7 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to A•••• P•••••• W••••• A•••••••left Mar 9, 2015, registered Aug 23, 2019 (1628 days) · Wirehouse 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address