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••••••••• D••••••
- M•••••• BD affiliated currentsince Jul 7, 2023 · Newton, Ct
- G•• F•••••••• S••••••••• L•• formerJan 2, 2019 to Jul 25, 2023 · Westport, Ct
- R•••••• A••••••• formerApr 7, 2014 to Jan 2, 2019 · Westport, Ct
- R•••• T•••• W••••• M••••••••• formerMar 9, 2009 to Nov 19, 2013 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerOct 26, 2005 to Mar 1, 2006 · Paramus, Nj
- G•• F•••••••• S••••••••• L•• to M••••••left Jul 25, 2023, registered Jul 7, 2023 (-18 days) · RIA to affiliated broker-dealer or bank
- R•••••• A••••••• to G•• F•••••••• S••••••••• L••left Jan 2, 2019, registered Jan 2, 2019 (0 days) · channel change inside one enterprise, not a move · moved with a team
- R•••• T•••• W••••• M••••••••• to R•••••• A•••••••left Nov 19, 2013, registered Apr 7, 2014 (139 days) · Other
- C•••• I••••••••• S••••••• C•••• to R•••• T•••• W••••• M•••••••••left Mar 1, 2006, registered Mar 9, 2009 (1104 days) · Other
- A••••••••• D•••••• left G•• F•••••••• S••••••••• L•• for Mariner (registered 2023-07-07)Jul 25, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address