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.
C•••• S•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Oct 1, 2019 · West Conshohocken, Pa
- A••• W••••• S••••••••• formerMar 6, 2013 to Oct 2, 2019 · Warren, Nj
- L••••••• A•••• M••••••••• L•• asset managerMar 28, 2006 to Aug 16, 2011 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerSep 9, 2003 to Mar 29, 2006 · New York, Ny
- A••• W••••• S••••••••• to W••••• E••••••••• A••••••• S•••••••• L••left Oct 2, 2019, registered Oct 1, 2019 (-1 days) · RIA to affiliated broker-dealer or bank · moved with a team
- L••••••• A•••• M••••••••• L•• to A••• W••••• S•••••••••left Aug 16, 2011, registered Mar 6, 2013 (568 days) · Other
- C••••• S••••• S••••••••• •••• L•• to L••••••• A•••• M••••••••• L••left Mar 29, 2006, registered Mar 28, 2006 (-1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address