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•••• E••••• A•••••
- W••••••••• C•••••• S••••••••• L•• independent RIA currentsince Dec 16, 2015 · East Hampton, Ny
- C• W••••• M••••••••• L•• independent RIAMar 14, 2013 to Dec 26, 2013 · Schaumburg, Il
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedOct 10, 2012 to Feb 19, 2013 · East Hampton, Ny
- P•••••• R••••••• G•••• unclassifiedAug 26, 2010 to Jun 14, 2012 · New York, Ny
- C• W••••• M••••••••• L•• to W••••••••• C•••••• S••••••••• L••left Dec 26, 2013, registered Dec 16, 2015 (720 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to C• W••••• M••••••••• L••left Feb 19, 2013, registered Mar 14, 2013 (23 days) · Other
- P•••••• R••••••• G•••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jun 14, 2012, registered Oct 10, 2012 (118 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
- Independent wealth managerderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address