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.
Y•••••• M••••••• G••••••
- M•• S••••••••• L•• no RAUM currentsince Nov 12, 2024 · Boston, Ma
- O•••• W•••••• I••• BD affiliatedSep 1, 2023 to Sep 20, 2024 · Scottsdale, Az
- S•••••••• F••••••••• I••• formerApr 13, 2023 to Sep 1, 2023 · Scottsdale, Az
- C••••• U•••• I••••••••• S••••••• state registeredMay 19, 2015 to Apr 20, 2021 · Durham, Nc
- O•••• W•••••• I••• to M•• S••••••••• L••left Sep 20, 2024, registered Nov 12, 2024 (53 days) · Other
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- C••••• U•••• I••••••••• S••••••• to S•••••••• F••••••••• I•••left Apr 20, 2021, registered Apr 13, 2023 (723 days) · Other
- Y•••••• M••••••• G•••••• left O•••• W•••••• I••• for M•• S••••••••• L•• (registered 2024-11-12)Sep 20, 2024 · 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
- No RAUM reportedderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address