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.
S•••••••• M•••••• Z••••••••
- E•••• S••••••••• L•• BD affiliated currentsince Jun 24, 2009 · New Y•••, Ny
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerNov 15, 2007 to May 13, 2009 · New Y•••, Ny
- A•• I••••••••• S•••••••• I••• asset managerSep 18, 2007 to Nov 9, 2007 · Shelton, Ct
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerDec 16, 2002 to Aug 8, 2007 · Parsippany, Nj
- N•• Y••• L••• I••••••••• M••••••••• L•• to E•••• S••••••••• L••left May 13, 2009, registered Jun 24, 2009 (42 days) · Other
- A•• I••••••••• S•••••••• I••• to N•• Y••• L••• I••••••••• M••••••••• L••left Nov 9, 2007, registered Nov 15, 2007 (6 days) · Other
- N•• Y••• L••• I••••••••• M••••••••• L•• to A•• I••••••••• S•••••••• I•••left Aug 8, 2007, registered Sep 18, 2007 (41 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