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.
N••••• D•••• L••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Sep 24, 2018 · Pittsburgh, Pa
- F•••••••• G••••• I••••••••• M••••••••• C•••• asset managerApr 18, 2013 to Dec 31, 2015 · New York, Ny
- M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• asset managerApr 1, 2013 to Mar 12, 2018 · Boston, Ma
- F•••••••• I••••••••• C••••••••• institutionalMar 25, 2013 to Mar 12, 2018 · Pittsburgh, Pa
- F•••••••• S••••••••• C•••• no RAUMMar 25, 2013 to Mar 12, 2018 · Pittsburgh, Pa
- F•••••••• I••••••••• C••••••••• to F•••••••• S••••••••• C••••left Mar 12, 2018, registered Mar 25, 2013 (-1813 days) · channel change inside one enterprise, not a move
- M•• A•••••••• A• D••••••• O• F•••••••• M••• L•• to F•••••••• G••••• I••••••••• M••••••••• C••••left Mar 12, 2018, registered Apr 18, 2013 (-1789 days) · channel change inside one enterprise, not a move
- F•••••••• S••••••••• C•••• to M•• A•••••••• A• D••••••• O• F•••••••• M••• L••left Mar 12, 2018, registered Apr 1, 2013 (-1806 days) · channel change inside one enterprise, not a move
- F•••••••• G••••• I••••••••• M••••••••• C•••• to A••••••••• F•••••••• S•••••••• L••left Dec 31, 2015, registered Sep 24, 2018 (998 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address