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.
P•••• P•••••• C•••••
- T•••• A••••••• G•••• L•• independent RIA currentsince Jun 1, 2012 · Birmingham, Al
- A••••••• P••••••• G•••• I•• formerOct 22, 2009 to May 2, 2012 · Stamford, Ct
- C•••••• S••••• • C••• I••• national BDApr 7, 2005 to Jul 21, 2008 · Fairfield, Ct
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJan 28, 2004 to Sep 24, 2004 · Monroe, Ct
- A• G• E•••••• • S•••• I••• unclassifiedApr 12, 2002 to Jan 26, 2004 · Greenwich, Ct
- A••••••• P••••••• G•••• I•• to T•••• A••••••• G•••• L••left May 2, 2012, registered Jun 1, 2012 (30 days) · Other
- C•••••• S••••• • C••• I••• to A••••••• P••••••• G•••• I••left Jul 21, 2008, registered Oct 22, 2009 (458 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Sep 24, 2004, registered Apr 7, 2005 (195 days) · Other
- A• G• E•••••• • S•••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Jan 26, 2004, registered Jan 28, 2004 (2 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address