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.
L••• A•• S••••••
- E•••••••• A•••••••• L•• national BD currentsince Sep 22, 2016 · New York, Ny
- T•• G•••••••• G••••• I••• independent RIAMar 18, 2016 to Sep 8, 2016 · Maplewood, Nj
- U•• F•••••••• S••••••• I••• wirehouseFeb 7, 2014 to Nov 11, 2014 · Bethesda, Md
- T•• G•••••••• G••••• I••• to E•••••••• A•••••••• L••left Sep 8, 2016, registered Sep 22, 2016 (14 days) · Other
- U•• F•••••••• S••••••• I••• to T•• G•••••••• G••••• I•••left Nov 11, 2014, registered Mar 18, 2016 (493 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