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.
H••••• P••••••••
- E•••• S••••••••• L•• BD affiliated currentsince Nov 27, 2024 · New York, Ny
- F•••• independent RIAJan 21, 2021 to Oct 17, 2023 · New York City, Ny
- C•••••• S••••• • C••• I••• national BDJun 27, 2016 to Dec 18, 2020 · Phoenix, Az
- F•••• to E•••• S••••••••• L••left Oct 17, 2023, registered Nov 27, 2024 (407 days) · RIA to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to F••••left Dec 18, 2020, registered Jan 21, 2021 (34 days) · Affiliated broker-dealer or bank to independent RIA
- H••••• P•••••••• left Facet for E•••• S••••••••• L•• (registered 2024-11-27)Oct 17, 2023 · 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
- 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