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.
P•••••• F•••• W•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Sep 21, 2018 · Cincinnati, Oh
- A••••••••• L••• otherJul 28, 2017 to Sep 24, 2018 · New York, Ny
- T• R••• P•••• A••••••• S•••••••• I••• BD affiliatedJul 13, 2015 to Jul 3, 2017 · Owings Mills, Md
- A••••••••• L••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 24, 2018, registered Sep 21, 2018 (-3 days) · Other
- T• R••• P•••• A••••••• S•••••••• I••• to A••••••••• L•••left Jul 3, 2017, registered Jul 28, 2017 (25 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
- Wirehousederived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address