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.
T••••• S•••• G••••••
- C•••••• C••••• G••••• I••• no RAUM currentsince Dec 12, 2023 · Santa Monica , Ca
- B•••••••• I••••••••• M••••••••• L•• asset managerJun 27, 2017 to Dec 22, 2021 · Boston, Ma
- W•••• F•••• A••••••• wirehouseFeb 1, 2016 to Jun 21, 2017 · San Diego, Ca
- E••••• J•••• national BDDec 4, 2014 to Jan 2, 2015 · St Louis, Mo
- B•••••••• I••••••••• M••••••••• L•• to C•••••• C••••• G••••• I•••left Dec 22, 2021, registered Dec 12, 2023 (720 days) · Other
- W•••• F•••• A••••••• to B•••••••• I••••••••• M••••••••• L••left Jun 21, 2017, registered Jun 27, 2017 (6 days) · Other
- E••••• J•••• to W•••• F•••• A•••••••left Jan 2, 2015, registered Feb 1, 2016 (395 days) · Affiliated broker-dealer or bank to wirehouse
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
- No RAUM reportedderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address