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•••••• C•••••
- S••••• F••••••••• L•• BD affiliated currentsince Jan 3, 2019 · White Plains, Ny
- S••••• F•••••••• R•••••••• I•• formerJan 4, 2008 to Sep 20, 2018 · Parsippany, Nj
- S••••• E••••••• I•• formerDec 3, 2007 to Dec 27, 2018 · White Plains, Ny
- P••• A••••• S••••••••• L•• BD affiliatedJun 22, 2007 to Dec 14, 2007 · White Plains, Ny
- S••••• E••••••• I•• to S••••• F•••••••• R•••••••• I••left Dec 27, 2018, registered Jan 4, 2008 (-4010 days) · corporate re-registration, not a move
- S••••• F•••••••• R•••••••• I•• to S••••• F••••••••• L••left Sep 20, 2018, registered Jan 3, 2019 (105 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to S••••• E••••••• I••left Dec 14, 2007, registered Dec 3, 2007 (-11 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address