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.
C••••••••• L•••• D••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 17, 2022 · Brookfield, Ct
- P••••••• U••••• A•••••••• I••• formerMay 22, 2018 to Aug 17, 2022 · Brookfield, Ct
- P••••••• S••••••••• I••• formerJan 2, 2014 to Mar 31, 2020 · White Plains, Ny
- L•• F•••••••• L•• BD affiliatedOct 11, 2012 to Jan 3, 2014 · Congers, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedNov 17, 2009 to Sep 21, 2012 · Melville, Ny
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to P••••••• U••••• A•••••••• I•••left Mar 31, 2020, registered May 22, 2018 (-679 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to P••••••• S••••••••• I•••left Jan 3, 2014, registered Jan 2, 2014 (-1 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to L•• F•••••••• L••left Sep 21, 2012, registered Oct 11, 2012 (20 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