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.
C•••••• W•••••• K•••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 13, 2016 · St. Petersburg, Fl
- B•••••••• I••••••••• M••••••••• L•• asset managerAug 13, 2014 to May 2, 2016 · Princeton, Nj
- A•••• • A••••••• G••••• P••••••• independent RIAApr 2, 2012 to Jul 17, 2014 · Westport, Ct
- B•••••••• I••••••••• M••••••••• L•• to R•••••• J•••• • A••••••••• I•••left May 2, 2016, registered Jun 13, 2016 (42 days) · Other
- A•••• • A••••••• G••••• P••••••• to B•••••••• I••••••••• M••••••••• L••left Jul 17, 2014, registered Aug 13, 2014 (27 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address