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.
L••••••• J•• K••••
- S•••••• W••••• independent RIA currentsince Sep 20, 2021 · Chappaqua, Ny
- U•• F•••••••• S••••••• I••• wirehouseApr 28, 2006 to Feb 6, 2015 · Purchase, Ny
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Apr 28, 2006 · White Plains, Ny
- P••••••••• E••••• G••••• L•• unclassifiedOct 8, 2001 to Jul 1, 2003 · White Plains, Ny
- U•• F•••••••• S••••••• I••• to S•••••• W•••••left Feb 6, 2015, registered Sep 20, 2021 (2418 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to U•• F•••••••• S••••••• I•••left Apr 28, 2006, registered Apr 28, 2006 (0 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address