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.
N••• R••••• S••••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Greenwich, Ct
- A••••••• P••••••••• A•••••••• I•• formerMay 27, 2010 to Oct 11, 2024 · Holbrook, Ny
- K•• G•••• M••••••••• I••• independent RIAJan 15, 2009 to Jun 1, 2010 · Ramsey, Nj
- O•••• W•••••• I••• BD affiliatedMar 18, 2008 to Jan 29, 2009 · New York, Ny
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- K•• G•••• M••••••••• I••• to A••••••• P••••••••• A•••••••• I••left Jun 1, 2010, registered May 27, 2010 (-5 days) · Other
- O•••• W•••••• I••• to K•• G•••• M••••••••• I•••left Jan 29, 2009, registered Jan 15, 2009 (-14 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address