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.
A••••• M•••••• B••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 25, 2021 · Latham, Ny
- C••••• W••••• M••••••••• independent RIAJun 8, 2007 to Oct 25, 2010 · Albany, Ny
- P••••••••• I••••••••• A••••••• L•• formerJul 2, 2002 to May 26, 2004 · Floram Park, Nj
- C••••• W••••• M••••••••• to A••••• A•• P••••••• S•••••••left Oct 25, 2010, registered May 25, 2021 (3865 days) · Other
- P••••••••• I••••••••• A••••••• L•• to C••••• W••••• M•••••••••left May 26, 2004, registered Jun 8, 2007 (1108 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address