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•••• J••••••• D•••••••••
- K•• I••••••••• S••••••• L•• BD affiliated currentsince Feb 16, 2018 · Brooklyn, Oh
- U•• F•••••••• S•••••••• I••• independent RIANov 13, 2017 to Jan 17, 2018 · Centennial, Co
- P•• W••••• M••••••••• BD affiliatedMar 25, 2015 to May 2, 2017 · Fort Lauderdale, Fl
- U•• F•••••••• S•••••••• I••• to K•• I••••••••• S••••••• L••left Jan 17, 2018, registered Feb 16, 2018 (30 days) · Other
- P•• W••••• M••••••••• to U•• F•••••••• S•••••••• I•••left May 2, 2017, registered Nov 13, 2017 (195 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address