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.
T••••• J••••• P•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 24, 2020 · Tarrytown, Ny
- P•••••• C••••• S•••••••• L•• BD affiliatedJul 28, 2010 to Nov 2, 2011 · Mt Kisco, Ny
- H•••••• T••••••• • K•••• L•• independent RIAMay 21, 2007 to Apr 15, 2008 · Tarrytown, Ny
- 1••• C•••••• M••••••••• C•••••• unclassifiedAug 13, 2001 to May 23, 2007 · New York, Ny
- P•••••• C••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Nov 2, 2011, registered Feb 24, 2020 (3036 days) · Other
- H•••••• T••••••• • K•••• L•• to P•••••• C••••• S•••••••• L••left Apr 15, 2008, registered Jul 28, 2010 (834 days) · Other
- 1••• C•••••• M••••••••• C•••••• to H•••••• T••••••• • K•••• L••left May 23, 2007, registered May 21, 2007 (-2 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