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.
A••••• M••• G•••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 20, 2016 · Fairfield, Nj
- U••• F•••••••• S•••••••• L•• unclassifiedMar 22, 2006 to Jul 23, 2010 · Fairfield, Nj
- N•• E•••••• S••••••••• C••••••••• formerJul 2, 2002 to Jun 11, 2010 · Fairfield, Nj
- U••• F•••••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Jul 23, 2010, registered Apr 20, 2016 (2098 days) · Other
- N•• E•••••• S••••••••• C••••••••• to U••• F•••••••• S•••••••• L••left Jun 11, 2010, registered Mar 22, 2006 (-1542 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address