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.
R••• C••••••••• H••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jan 10, 2019 · Fairfield, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDApr 15, 2016 to Dec 20, 2018 · Fairfield, Nj
- O••••••••• • C•• I••• BD affiliatedOct 23, 2008 to Apr 15, 2016 · New York, Ny
- E•••••••• C•••••• G•••• L•• unclassifiedSep 26, 2007 to Oct 6, 2008 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left Dec 20, 2018, registered Jan 10, 2019 (21 days) · Affiliated broker-dealer or bank to another
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 15, 2016, registered Apr 15, 2016 (0 days) · Other · moved with a team
- E•••••••• C•••••• G•••• L•• to O••••••••• • C•• I•••left Oct 6, 2008, registered Oct 23, 2008 (17 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address