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••• W•••••• L••••
- W••••••••• A••••••• P••••••• L•• BD affiliated currentsince Apr 27, 2018 · Tuxedo Park, Ny
- P•••••• A•••••• G••••• L•• BD affiliatedAug 2, 2011 to Apr 26, 2018 · Warwick, Ny
- M••••••••• F•••••••• G••••• L•• unclassifiedNov 12, 2004 to Jun 30, 2009 · M•••••••••, Nj
- M••••••••• F•••••••• G••••• L•• unclassifiedMar 28, 2003 to Jun 3, 2004 · M•••••••••, Nj
- P•••••• A•••••• G••••• L•• to W••••••••• A••••••• P••••••• L••left Apr 26, 2018, registered Apr 27, 2018 (1 days) · RIA to RIA
- M••••••••• F•••••••• G••••• L•• to P•••••• A•••••• G••••• L••left Jun 30, 2009, registered Aug 2, 2011 (763 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address