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••••••• C••••••
- M••• S••••• R••••••• L•• independent RIA currentsince Apr 8, 2022 · Lakeville, Ct
- C•••••• S••••• • C••• I••• national BDApr 9, 2019 to Dec 11, 2020 · Corte Madera, Ca
- E••••• J•••• national BDAug 13, 2018 to Mar 19, 2019 · San Rafael, Ca
- F•••••• I••••••••• M••••••••• I••• independent RIANov 21, 2017 to Jul 30, 2018 · South Windsor, Ct
- C•••••• S••••• • C••• I••• to M••• S••••• R••••••• L••left Dec 11, 2020, registered Apr 8, 2022 (483 days) · Affiliated broker-dealer or bank to independent RIA
- E••••• J•••• to C•••••• S••••• • C••• I•••left Mar 19, 2019, registered Apr 9, 2019 (21 days) · Affiliated broker-dealer or bank to another · moved with a team
- F•••••• I••••••••• M••••••••• I••• to E••••• J••••left Jul 30, 2018, registered Aug 13, 2018 (14 days) · RIA to affiliated broker-dealer or bank
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address