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•••• N•• P•••••••
- O••••••••• A•••• M••••••••• L•• independent RIA currentsince Jul 22, 2022 · Stamford, Ct
- F•••••••• G••••• L•• formerApr 26, 2017 to Nov 30, 2022 · Salt Lake City, Ut
- C••••••••• I••••••••• L•• mixed wealthMar 4, 2016 to Apr 26, 2017 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 13, 2015 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 1, 2008 to Jun 1, 2009 · New York, Ny
- C••••••••• I••••••••• L•• mixed wealthDec 19, 2005 to Apr 9, 2008 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 24, 2002 to Dec 21, 2005 · Stamford, Ct
- F•••••••• G••••• L•• to O••••••••• A•••• M••••••••• L••left Nov 30, 2022, registered Jul 22, 2022 (-131 days) · RIA to RIA
- C••••••••• I••••••••• L•• to F•••••••• G••••• L••left Apr 26, 2017, registered Apr 26, 2017 (0 days) · Other · moved with a team
- M••••• S•••••• to C••••••••• I••••••••• L••left Oct 13, 2015, registered Mar 4, 2016 (143 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C••••••••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••left Apr 9, 2008, registered Apr 1, 2008 (-8 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••left Dec 21, 2005, registered Dec 19, 2005 (-2 days) · corporate re-registration, not a move
- R•••• N•• P••••••• left F•••••••• G••••• L•• for O••••••••• A•••• M••••••••• L•• (registered 2022-07-22)Nov 30, 2022 · Advisor changed firm · 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
- Independent wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address