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.
A•••••• P••••••• L• T••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 1, 2012 · Newburgh, Ny
- C•••• I••••••••• S••••••• C•••• formerNov 2, 2007 to Oct 1, 2012 · Tuxedo, Ny
- C••••••• S••••••••• I••• BD affiliatedSep 25, 2006 to Nov 2, 2007 · Bloomingburg, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Apr 20, 2005 · Goshen, Ny
- Q•••• • R•••••• I••• unclassifiedNov 24, 2003 to Oct 20, 2004 · Albany, Ny
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- C••••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Nov 2, 2007, registered Nov 2, 2007 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• S••••••••• I•••left Apr 20, 2005, registered Sep 25, 2006 (523 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address