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.
M•••••• P•••••• D•••
- S••••••• W••••• M••••••••• L•• independent RIA currentsince Dec 26, 2019 · Purchase, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 24, 2011 to Jul 12, 2016 · Stamford, Ct
- O••••••••• • C•• I••• BD affiliatedOct 30, 2009 to Jul 1, 2011 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S••••••• W••••• M••••••••• L••left Jul 12, 2016, registered Dec 26, 2019 (1262 days) · Wirehouse to independent RIA
- O••••••••• • C•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 1, 2011, registered Jun 24, 2011 (-7 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
- Independent wealth managerderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address