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.
- I•••••••• A•••••••• L•• BD affiliated currentsince Feb 12, 2024 · Rome, Ga
- N• C••••••• L•• formerMar 13, 2023 to Jan 5, 2024 · Stamford, Ct
- S•• F••••••••• L•• independent RIAJul 27, 2016 to Feb 24, 2023 · Aurora, Il
- N• C••••••• L•• to I•••••••• A•••••••• L••left Jan 5, 2024, registered Feb 12, 2024 (38 days) · RIA to RIA
- S•• F••••••••• L•• to N• C••••••• L••left Feb 24, 2023, registered Mar 13, 2023 (17 days) · RIA to RIA
- A•• H••••••• left N• C••••••• L•• for I•••••••• A•••••••• L•• (registered 2024-02-12)Jan 5, 2024 · Advisor changed firm · fact
- A•• H••••••• left S•• F••••••••• L•• for N• C••••••• L•• (registered 2023-03-13)Feb 24, 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address