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.
J••• D•••• D••••
- G••••• F•••••••• A•••••••• L•• state registered currentsince Feb 9, 2018 · Stamford, Ct
- A••••••• W••••• M••••••••• L•• independent RIAMar 26, 2013 to Dec 31, 2016 · Stamford, Ct
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 23, 2009 to Jun 1, 2011 · Stamford, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 2, 2006 to Apr 2, 2009 · Stamford, Ct
- A••••••• W••••• M••••••••• L•• to G••••• F•••••••• A•••••••• L••left Dec 31, 2016, registered Feb 9, 2018 (405 days) · Other
- M•• I•••••••• S•••••••• L•• to A••••••• W••••• M••••••••• L••left Jun 1, 2011, registered Mar 26, 2013 (664 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Apr 2, 2009, registered Jun 23, 2009 (82 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
- STATE REGISTEREDderived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address