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.
D•••• A•••••• R••
- I• F•••••••• A••••••• S••••••• L•• independent RIA currentsince Oct 26, 2021 · Charlotte, Nc
- S••••• F•••••••• G•••• I•• formerMar 8, 2016 to Mar 21, 2016 · Rensselaer, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 8, 2015 to Mar 21, 2016 · Rensselaer, Ny
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerOct 10, 2007 to Nov 13, 2015 · Rensselaer, Ny
- C••••• I••••••••• A••••••• L•• to S••••• F•••••••• G•••• I••left Mar 21, 2016, registered Mar 8, 2016 (-13 days) · Other
- S••••• F•••••••• G•••• I•• to I• F•••••••• A••••••• S••••••• L••left Mar 21, 2016, registered Oct 26, 2021 (2045 days) · Other
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 13, 2015, registered Oct 8, 2015 (-36 days) · corporate re-registration, 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address