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.
A•••••• J••• B••••••
- C••••••••• I••••••••• A••••••• A•• P•••••••• M••••••••• independent RIA currentsince Oct 16, 2020 · Shelton, Ct
- W•••• F•••• A••••••• wirehouseMay 17, 2013 to Oct 21, 2020 · Westport, Ct
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 13, 2013 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedFeb 21, 2006 to Jun 1, 2009 · New York, Ny
- L••• M•••• W••• W•••••• I••••••••• unclassifiedFeb 7, 2005 to Feb 21, 2006 · Westport, Ct
- C••••••••• C•••••• C•••• unclassifiedFeb 27, 1995 to Feb 7, 2005 · Westport, Ct
- W•••• F•••• A••••••• to C••••••••• I••••••••• A••••••• A•• P•••••••• M•••••••••left Oct 21, 2020, registered Oct 16, 2020 (-5 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• to W•••• F•••• A•••••••left Jun 13, 2013, registered May 17, 2013 (-27 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••• M•••• W••• W•••••• I••••••••• to C•••••••• G••••• M•••••• I•••left Feb 21, 2006, registered Feb 21, 2006 (0 days) · corporate re-registration, not a move
- C••••••••• C•••••• C•••• to L••• M•••• W••• W•••••• I•••••••••left Feb 7, 2005, registered Feb 7, 2005 (0 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