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.
S••••• S• B••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Apr 1, 2022 · New York, Ny
- C••• P•••••• A•••••••• L•• formerApr 1, 2022 to Jun 30, 2010 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 25, 2011 to Apr 17, 2015 · Philadelphia, Pa
- C•••••••• G••••• M•••••• I••• to C••• P•••••• A•••••••• L••left Apr 17, 2015, registered Apr 1, 2022 (2541 days) · Other
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 30, 2010, registered Apr 1, 2022 (4293 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address