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.
S••••••• H••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 8, 2023 · Santa Clara, Ca
- D••• D••••••• • C•• independent RIASep 10, 2020 to Jul 6, 2021 · Pendleton, Or
- L•••• A••••• • C•• L•• asset managerApr 6, 2017 to Mar 3, 2020 · Jersey City, Nj
- D••• D••••••• • C•• to A••••••••• F•••••••• S•••••••• L••left Jul 6, 2021, registered Mar 8, 2023 (610 days) · RIA to affiliated broker-dealer or bank
- L•••• A••••• • C•• L•• to D••• D••••••• • C••left Mar 3, 2020, registered Sep 10, 2020 (191 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
- National broker-dealer RIAderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address