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••••• R•••• F••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · White Plains, Ny
- P•••• S••••••••• L•• no RAUMSep 13, 2023 to Nov 14, 2024 · White Plains, Ny
- L••••• T•••••• I••••••••• I••• independent RIASep 23, 2021 to Nov 5, 2021 · Darien, Ct
- F••••• I••••••••• independent RIAOct 25, 2019 to Mar 11, 2020 · Plano, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 31, 2017 to Oct 18, 2019 · Stamford, Ct
- M••••••• I••••••••• M••••••••• ••• L•• asset managerJun 4, 2012 to Dec 31, 2015 · Boston, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 31, 2005 to Apr 5, 2012 · Stamford, Ct
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- L••••• T•••••• I••••••••• I••• to P•••• S••••••••• L••left Nov 5, 2021, registered Sep 13, 2023 (677 days) · RIA to affiliated broker-dealer or bank
- F••••• I••••••••• to L••••• T•••••• I••••••••• I•••left Mar 11, 2020, registered Sep 23, 2021 (561 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F••••• I•••••••••left Oct 18, 2019, registered Oct 25, 2019 (7 days) · Wirehouse to independent RIA
- M••••••• I••••••••• M••••••••• ••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 31, 2015, registered Jul 31, 2017 (578 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••••• I••••••••• M••••••••• ••• L••left Apr 5, 2012, registered Jun 4, 2012 (60 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address