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•••••••• P•••••
- O•••• W•••••• I••• BD affiliated currentsince Aug 3, 2022 · Birmingham, Al
- E•••••••• A•••••••• L•• national BDMay 16, 2019 to Jul 1, 2022 · Bala Cynwyd, Pa
- N•••••• G•••• C••••••••• L•• institutionalAug 30, 2012 to Jul 5, 2017 · Lake Mary, Fl
- E•••••••• A•••••••• L•• to O•••• W•••••• I•••left Jul 1, 2022, registered Aug 3, 2022 (33 days) · Affiliated broker-dealer or bank to another
- N•••••• G•••• C••••••••• L•• to E•••••••• A•••••••• L••left Jul 5, 2017, registered May 16, 2019 (680 days) · Other
- L••• A•••••••• P••••• left E•••••••• A•••••••• L•• for O•••• W•••••• I••• (registered 2022-08-03)Jul 1, 2022 · Advisor changed firm · fact
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address