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.
H••••• B•••
- C•••• H••••• A•••• M••••••••• L•• independent RIA currentsince Oct 7, 2021 · Stamford, Ct
- S••••••••• M••••••••• L•• formerSep 2, 2021 to Sep 17, 2021 · New York, Ny
- S••••••••• M••••••••• L•• formerJan 28, 2005 to Dec 31, 2005
- S••••••••• M••••••••• L•• formerNov 19, 2003 to Dec 31, 2004 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseNov 1, 2001 to Sep 15, 2003 · Ny, Ny
- S••••••••• M••••••••• L•• to C•••• H••••• A•••• M••••••••• L••left Sep 17, 2021, registered Oct 7, 2021 (20 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to S••••••••• M••••••••• L••left Sep 15, 2003, registered Nov 19, 2003 (65 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address