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.
D••••• A••• W•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 25, 2021 · Raleigh, Nc
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Dec 22, 2020 · Boston, Ma
- S•••••••• A••••••• L•• national BDJun 9, 2016 to Jul 13, 2018 · Scarsdale, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 7, 2014 to Jul 2, 2014 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to C•••••• S••••• • C••• I•••left Dec 22, 2020, registered Jan 25, 2021 (34 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to S•••••••• A••••••• L••left Jul 2, 2014, registered Jun 9, 2016 (708 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