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.
H••••••••• W••••••
- C••••••• P•••••••• I••• independent RIA currentsince Sep 7, 2022 · Jackson Heights, Ny
- C••••••• A••••••• N••••••• L•• independent RIAAug 5, 2013 to Dec 6, 2022 · Aliso Viejo, Ca
- B• R•••• W••••• A•••••••• I••• BD affiliatedSep 21, 2004 to Aug 5, 2013 · New York, Ny
- W•••• F•••• A••••••• wirehouseJun 3, 2002 to Dec 14, 2002 · New York, Ny
- C••••••• A••••••• N••••••• L•• to C••••••• P•••••••• I•••left Dec 6, 2022, registered Sep 7, 2022 (-90 days) · RIA to RIA
- B• R•••• W••••• A•••••••• I••• to C••••••• A••••••• N••••••• L••left Aug 5, 2013, registered Aug 5, 2013 (0 days) · Other
- W•••• F•••• A••••••• to B• R•••• W••••• A•••••••• I•••left Dec 14, 2002, registered Sep 21, 2004 (647 days) · Other
- H••••••••• W•••••• left C••••••• A••••••• N••••••• L•• for C••••••• P•••••••• I••• (registered 2022-09-07)Dec 6, 2022 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address