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.
S••••• O•••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 15, 2013 · Norwalk, Ct
- W••••••• R•••••••• M••••••••• I•• formerMar 6, 2009 to May 20, 2013 · W•••••••, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 9, 2009 · Darien, Ct
- Q•••• • R•••••• I••• unclassifiedMay 24, 2004 to Oct 20, 2004 · W•••••••, Ct
- W••••••• R•••••••• M••••••••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left May 20, 2013, registered May 15, 2013 (-5 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W••••••• R•••••••• M••••••••• I••left Mar 9, 2009, registered Mar 6, 2009 (-3 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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