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.
D••••• J••••• P•••
- C••••••• S••••••••• I••• BD affiliated currentsince Oct 26, 2023 · West Hartford, Ct
- P•• W••••• M••••••••• BD affiliatedDec 11, 2014 to Jan 3, 2023 · Louisville, Ky
- L•• F•••••••• L•• BD affiliatedJun 13, 2012 to Aug 14, 2014 · Buffalo, Ny
- M•• S••••••••• I••• unclassifiedApr 5, 2010 to Jul 7, 2010 · Baltimore, Md
- P•• W••••• M••••••••• to C••••••• S••••••••• I•••left Jan 3, 2023, registered Oct 26, 2023 (296 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to P•• W••••• M•••••••••left Aug 14, 2014, registered Dec 11, 2014 (119 days) · Other
- M•• S••••••••• I••• to L•• F•••••••• L••left Jul 7, 2010, registered Jun 13, 2012 (707 days) · Other
- D••••• J••••• P••• left P•• W••••• M••••••••• for C••••••• S••••••••• I••• (registered 2023-10-26)Jan 3, 2023 · Advisor changed firm · fact
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address