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.
D••••• M•••••• T••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Oct 13, 2017 · Brewster, Ny
- O••••••••• • C•• I••• BD affiliatedAug 29, 2005 to Oct 20, 2017 · Danbury, Ct
- M••••• S•••••• D• I••• unclassifiedOct 4, 1999 to Aug 24, 2005 · Danbury, Ct
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 20, 2017, registered Oct 13, 2017 (-7 days) · Other
- M••••• S•••••• D• I••• to O••••••••• • C•• I•••left Aug 24, 2005, registered Aug 29, 2005 (5 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
- National broker-dealer RIAderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address