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•••• J••• G•••••
- B••••••••• W••••• A•••••••• L•• no RAUM currentsince Jul 7, 2014 · Madison, Ct
- R•••• I••••••••• A••••••• L•• BD affiliatedJun 14, 2013 to Jun 4, 2014 · Madison, Ct
- M••• S••••• A•••••••• L•• formerSep 27, 2011 to Jun 13, 2013 · Madison, Ct
- I••••••••• F•••••••• G••••• L•• BD affiliatedJul 30, 2010 to Sep 13, 2010 · Madison, Ct
- M••• S••••• A•••••••• L•• formerJan 3, 2007 to Dec 31, 2010 · Madison, Ct
- F•• A••••••• S••••••• I•• unclassifiedDec 7, 1994 to Aug 18, 2006 · Madison, Ct
- R•••• I••••••••• A••••••• L•• to B••••••••• W••••• A•••••••• L••left Jun 4, 2014, registered Jul 7, 2014 (33 days) · Other
- M••• S••••• A•••••••• L•• to R•••• I••••••••• A••••••• L••left Jun 13, 2013, registered Jun 14, 2013 (1 days) · Other
- M••• S••••• A•••••••• L•• to I••••••••• F•••••••• G••••• L••left Dec 31, 2010, registered Jul 30, 2010 (-154 days) · Other
- I••••••••• F•••••••• G••••• L•• to M••• S••••• A•••••••• L••left Sep 13, 2010, registered Sep 27, 2011 (379 days) · Other
- F•• A••••••• S••••••• I•• to M••• S••••• A•••••••• L••left Aug 18, 2006, registered Jan 3, 2007 (138 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
- No RAUM reportedderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address