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•• A• H••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 8, 2019 · Plymouth, Mn
- A••• W••••• S••••••••• formerApr 3, 2012 to Oct 2, 2019 · Warren, Nj
- E•••••••• A•••••••• L•• national BDApr 24, 2009 to Sep 12, 2011 · Morristown, Nj
- A••• W••••• S••••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 2, 2019, registered Oct 8, 2019 (6 days) · RIA to affiliated broker-dealer or bank · moved with a team
- E•••••••• A•••••••• L•• to A••• W••••• S•••••••••left Sep 12, 2011, registered Apr 3, 2012 (204 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address