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.
B••••••• Y••• W••••
- D•• F•••••••• C••••••••• L•• former currentsince Jun 19, 2013 · Ocean View, De
- J•••••••• L•••• • C•• I••••••••• unclassifiedSep 26, 2007 to Dec 10, 2008 · Washington, Dc
- J••••••• L•••• A•••• M••••••••• I•• formerSep 5, 1996 to Feb 25, 2009 · Washington, Dc
- J••••••• L•••• A•••• M••••••••• I•• to J•••••••• L•••• • C•• I•••••••••left Feb 25, 2009, registered Sep 26, 2007 (-518 days) · Other
- J•••••••• L•••• • C•• I••••••••• to D•• F•••••••• C••••••••• L••left Dec 10, 2008, registered Jun 19, 2013 (1652 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
- Former SEC-registered adviserderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address