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.
G••••• J••••• M••••••••
- O•••• W•••••• I••• BD affiliated currentsince Jun 14, 2024 · New York, Ny
- S••••••••• A•••••• A•••••••• I••• formerNov 2, 2017 to Jun 14, 2024 · New York, Ny
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerJun 13, 2013 to Nov 9, 2017 · South Windsor, Ct
- 1•• W•••••••• A•••••••• L••• formerSep 16, 2011 to Jun 26, 2013 · New York, Ny
- S••••••••• A•••••• A•••••••• I••• to O•••• W•••••• I•••left Jun 14, 2024, registered Jun 14, 2024 (0 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Nov 9, 2017, registered Nov 2, 2017 (-7 days) · Other · moved with a team
- 1•• W•••••••• A•••••••• L••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Jun 26, 2013, registered Jun 13, 2013 (-13 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address