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.
P•••• C••••••••• C•••
- V••••••••• A••••••• S••••••• BD affiliated currentsince Oct 30, 2015 · Woodbury, Ny
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerSep 15, 2014 to Oct 30, 2015 · Trumbull, Ct
- W•••• F•••• A••••••• wirehouseMar 7, 2012 to Sep 18, 2014 · Westport, Ct
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to V••••••••• A••••••• S•••••••left Oct 30, 2015, registered Oct 30, 2015 (0 days) · Other
- W•••• F•••• A••••••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Sep 18, 2014, registered Sep 15, 2014 (-3 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