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.
V•••••• F••••••• L••••••
- C••••••••• I••••••••• L•• mixed wealth currentsince Jul 24, 2012 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 23, 2005 to Dec 19, 2005 · Stamford, Ct
- C••••• C••••••• L•• formerJul 8, 2004 to Dec 21, 2005 · Denver, Co
- C••••• C••••••• L•• to C•••••••• G••••• M•••••• I•••left Dec 21, 2005, registered Mar 23, 2005 (-273 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••left Dec 19, 2005, registered Jul 24, 2012 (2409 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address