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•••••• B••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jun 17, 2015 · Stamford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 18, 2011 to Jun 16, 2015 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 28, 2009 to Apr 12, 2011 · Darien, Ct
- P•••••••• S••••••••• I••• BD affiliatedJan 9, 2009 to May 29, 2009 · Norwalk, Ct
- P•••••••• S••••••••• I••• BD affiliatedJan 30, 2006 to Dec 31, 2008 · Norwalk, Ct
- N•• E•••••• S••••••••• C••••••••• formerJul 3, 2003 to Jul 20, 2005 · Norwalk , Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jun 16, 2015, registered Jun 17, 2015 (1 days) · Wirehouse to wirehouse
- C•••• I••••••••• S••••••• C•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 12, 2011, registered May 18, 2011 (36 days) · Other
- P•••••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 29, 2009, registered May 28, 2009 (-1 days) · Other
- N•• E•••••• S••••••••• C••••••••• to P•••••••• S••••••••• I•••left Jul 20, 2005, registered Jan 30, 2006 (194 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
- Wirehousederived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address