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.
R••• C••••••••• B•••••••
- A••••••••• I••••••••• A••••••• mixed wealth currentsince Jul 24, 2023 · Wilmington, De
- L••••••••• F•••••••• formerOct 1, 2020 to Apr 17, 2024 · Wilmington, De
- E••••• J•••• national BDDec 15, 2017 to Oct 2, 2020 · Wilmington, De
- L••••••••• F•••••••• to A••••••••• I••••••••• A•••••••left Apr 17, 2024, registered Jul 24, 2023 (-268 days) · RIA to RIA
- E••••• J•••• to L••••••••• F••••••••left Oct 2, 2020, registered Oct 1, 2020 (-1 days) · Affiliated broker-dealer or bank to independent RIA
- R••• C••••••••• B••••••• left L••••••••• F•••••••• for A••••••••• I••••••••• A••••••• (registered 2023-07-24)Apr 17, 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address