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.
E••••• J• G••••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Dec 11, 2020 · Saugerties, Ny
- U•• F•••••••• S••••••••• L•• independent RIAOct 23, 2020 to Nov 13, 2020 · Binghampton, Ny
- P••• A••••• S••••••••• L•• BD affiliatedJul 17, 2014 to Apr 30, 2018 · New York, Ny
- A••••••• A••••••• S••••••• formerMay 20, 2009 to Nov 30, 2009 · Saugerties, Ny
- E•• F•••••••• A••••••• independent RIAApr 4, 2007 to Apr 17, 2009 · Montpelier, Vt
- U•• F•••••••• S••••••••• L•• to P••• A••••• S••••••••• L••left Nov 13, 2020, registered Dec 11, 2020 (28 days) · RIA to affiliated broker-dealer or bank
- P••• A••••• S••••••••• L•• to U•• F•••••••• S••••••••• L••left Apr 30, 2018, registered Oct 23, 2020 (907 days) · Affiliated broker-dealer or bank to independent RIA
- A••••••• A••••••• S••••••• to P••• A••••• S••••••••• L••left Nov 30, 2009, registered Jul 17, 2014 (1690 days) · Other
- E•• F•••••••• A••••••• to A••••••• A••••••• S•••••••left Apr 17, 2009, registered May 20, 2009 (33 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address