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.
P•••••• G• W•••••••
- J••••• M••••••••• S•••• L•• BD affiliated currentsince Apr 30, 2021 · Westbrook, Ct
- W•••• F•••• A••••••• wirehouseJul 7, 2006 to Apr 27, 2021 · Purchase, Ny
- M••••• S•••••• D• I••• unclassifiedAug 30, 1991 to Jul 5, 2006 · New Haven, Ct
- W•••• F•••• A••••••• to J••••• M••••••••• S•••• L••left Apr 27, 2021, registered Apr 30, 2021 (3 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Jul 5, 2006, registered Jul 7, 2006 (2 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address