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.
E••••• M•••• P•••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jul 23, 2012 · Greenwich, Ct
- F••••••• F•••••••• S••••••••• L•• independent RIANov 2, 2006 to Jul 23, 2012 · Greenwich, Ct
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 3, 2003 to Nov 9, 2006 · Greenwich, Ct
- E•••••••• A•••••••• L•• national BDJul 13, 1998 to Jul 2, 2003 · Greenwich, Ct
- F••••••• F•••••••• S••••••••• L•• to P•••••• A•••••• G••••• L••left Jul 23, 2012, registered Jul 23, 2012 (0 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to F••••••• F•••••••• S••••••••• L••left Nov 9, 2006, registered Nov 2, 2006 (-7 days) · Other
- E•••••••• A•••••••• L•• to T••••••••• F•••••••• A•••••••• L••left Jul 2, 2003, registered Sep 3, 2003 (63 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address