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.
W•••••• J••••• K••••••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Jul 10, 2021 · Middletown, Ny
- G••• G••••••• P••••••• S••••••• formerMar 27, 2015 to Sep 19, 2019 · Locust Valley, Ny
- G••• G••••••• P••••••• S••••••• I•• formerMay 14, 2003 to Apr 23, 2015 · Suffern, Ny
- G••• G••••••• P••••••• S••••••• to K••••• P•••••• W••••• S•••••••• L••left Sep 19, 2019, registered Jul 10, 2021 (660 days) · RIA to affiliated broker-dealer or bank
- G••• G••••••• P••••••• S••••••• I•• to G••• G••••••• P••••••• S•••••••left Apr 23, 2015, registered Mar 27, 2015 (-27 days) · channel change inside one enterprise, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address