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.
R•••••• M•••••• P••••
- P•••• C•••••• F•••••••• mixed wealth currentsince Dec 19, 2022 · Stamford, Ct
- L•••••• W••••• A•••••••• L•• formerJan 26, 2022 to Dec 16, 2022 · Naples, Fl
- L•••••• W••••• A•••••••• L•• formerJul 9, 2012 to Dec 31, 2021 · Stamford, Ct
- C••••• A•••••• N••••••• L•• formerApr 25, 1996 to Jul 2, 2012 · Stamford, Ct
- A••••••• P••••••• G•••• I•• formerSep 30, 1991 to Dec 31, 2012 · Stamford, Ct
- L•••••• W••••• A•••••••• L•• to P•••• C•••••• F••••••••left Dec 16, 2022, registered Dec 19, 2022 (3 days) · RIA to RIA · moved with a team
- L•••••• W••••• A•••••••• L•• to L•••••• W••••• A•••••••• L••left Dec 31, 2021, registered Jan 26, 2022 (26 days) · channel change inside one enterprise, not a move
- A••••••• P••••••• G•••• I•• to C••••• A•••••• N••••••• L••left Dec 31, 2012, registered Apr 25, 1996 (-6094 days) · Other
- C••••• A•••••• N••••••• L•• to L•••••• W••••• A•••••••• L••left Jul 2, 2012, registered Jul 9, 2012 (7 days) · Other
- R•••••• M•••••• P•••• left L•••••• W••••• A•••••••• L•• for P•••• C•••••• F•••••••• (registered 2022-12-19)Dec 16, 2022 · a•••••• firm change · fact
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address