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.
E•••• M••••• H••••••
- K••••• A•••••••• I••• BD affiliated currentsince Dec 22, 2017 · Ft. Lauderdale, Fl
- S•• I••••••••• I••• formerJun 24, 2009 to Dec 21, 2017 · Darien, Ct
- Q•••••• A•••• M••••••••• I••• formerJan 4, 2008 to Jul 10, 2009 · Darien, Ct
- O• I••••••••• M••••••••• C• BD affiliatedMar 20, 2006 to Dec 31, 2007 · Darien, Ct
- P••• A••••• S••••••••• L•• BD affiliatedAug 24, 2005 to Apr 4, 2006 · New York, Ny
- 1••• C•••••• M••••••••• C•••••• unclassifiedMay 12, 2004 to Jul 21, 2005 · Tarrytown, Ny
- M•• F•••••••• S•••••••• I••• formerApr 14, 2003 to Dec 19, 2003 · New York, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 28, 2003 to Apr 11, 2003 · Darien, Ct
- S•• I••••••••• I••• to K••••• A•••••••• I•••left Dec 21, 2017, registered Dec 22, 2017 (1 days) · Other · moved with a team
- Q•••••• A•••• M••••••••• I••• to S•• I••••••••• I•••left Jul 10, 2009, registered Jun 24, 2009 (-16 days) · Other
- O• I••••••••• M••••••••• C• to Q•••••• A•••• M••••••••• I•••left Dec 31, 2007, registered Jan 4, 2008 (4 days) · Other
- P••• A••••• S••••••••• L•• to O• I••••••••• M••••••••• C•left Apr 4, 2006, registered Mar 20, 2006 (-15 days) · Other
- 1••• C•••••• M••••••••• C•••••• to P••• A••••• S••••••••• L••left Jul 21, 2005, registered Aug 24, 2005 (34 days) · Other
- M•• F•••••••• S•••••••• I••• to 1••• C•••••• M••••••••• C••••••left Dec 19, 2003, registered May 12, 2004 (145 days) · Other
- C••••• I••••••••• A••••••• L•• to M•• F•••••••• S•••••••• I•••left Apr 11, 2003, registered Apr 14, 2003 (3 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address