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••••• K•• N•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jan 2, 2009 · Torrington, Ct
- P••••••• W••••• M••••••••• G••••• L•• independent RIAMay 19, 2004 to Oct 8, 2004 · Pennington, Nj
- L•• F•••••••• L•• BD affiliatedApr 28, 2004 to Jul 13, 2004 · Pennington, Nj
- A••••••• S•••••• A••••••• S•••••••• I••• unclassifiedFeb 26, 2003 to Mar 25, 2004 · Shelton, Ct
- P••••••• W••••• M••••••••• G••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Oct 8, 2004, registered Jan 2, 2009 (1547 days) · Other
- L•• F•••••••• L•• to P••••••• W••••• M••••••••• G••••• L••left Jul 13, 2004, registered May 19, 2004 (-55 days) · Other
- A••••••• S•••••• A••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 25, 2004, registered Apr 28, 2004 (34 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address