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.
J••••• T••••• B•••••••
- C••••• P••••••• L•• independent RIA currentsince Jul 5, 2023 · New York, Ny
- A• W••••• formerJul 25, 2022 to Aug 15, 2023 · Mount Pleasant Drive, Sc
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2013 to Jun 28, 2022 · New York, Ny
- A• W••••• to C••••• P••••••• L••left Aug 15, 2023, registered Jul 5, 2023 (-41 days) · RIA to RIA · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A• W•••••left Jun 28, 2022, registered Jul 25, 2022 (27 days) · Wirehouse to independent RIA
- J••••• T••••• B••••••• left A• W••••• for C••••• P••••••• L•• (registered 2023-07-05)Aug 15, 2023 · Advisor changed firm · fact
- J••••• T••••• B••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for A• W••••• (registered 2022-07-25)Jun 28, 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address