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••••• F•••••• W••••
- C•••••••• F••••••••• I••• BD affiliated currentsince Jun 1, 2017 · Shelton, Ct
- A••••••• P••••••••• A•••••••• I•• formerMar 28, 2013 to Jun 1, 2017 · Holbrook, Ny
- S•••• A•••• M••••••••• G••••• L•• formerMar 27, 2008 to Jan 11, 2017 · Bridgeport, Ct
- S•••• A•••• M••••••••• I••• unclassifiedJul 26, 2005 to Mar 28, 2008 · Bridgeport, Ct
- P••••••••• F•••••••• A••••••• unclassifiedDec 9, 2002 to Dec 31, 2004 · White Plains, Ny
- A••••••• P••••••••• A•••••••• I•• to C•••••••• F••••••••• I•••left Jun 1, 2017, registered Jun 1, 2017 (0 days) · Other · moved with a team
- S•••• A•••• M••••••••• G••••• L•• to A••••••• P••••••••• A•••••••• I••left Jan 11, 2017, registered Mar 28, 2013 (-1385 days) · Other
- S•••• A•••• M••••••••• I••• to S•••• A•••• M••••••••• G••••• L••left Mar 28, 2008, registered Mar 27, 2008 (-1 days) · Other
- P••••••••• F•••••••• A••••••• to S•••• A•••• M••••••••• I•••left Dec 31, 2004, registered Jul 26, 2005 (207 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address