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.
D••••• T••••• S•••••
- B••••••••• C•••••• M••••••••• L•• independent RIA currentsince Jun 4, 2021 · Danbury, Ct
- S•••••• N••••••• • C••••••• I••••••••• national BDJul 7, 2015 to May 13, 2021 · St. Louis, Mo
- S••••• A••• A•••• M••••••••• I••• formerSep 12, 2014 to Jul 7, 2015 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 24, 2011 to Sep 16, 2014 · Stamford, Ct
- O•••• F•• I••• formerJan 3, 2011 to Jan 19, 2011 · Southport, Ct
- U••• F•••••••• A••••••• formerJul 1, 2008 to Dec 31, 2010 · Wilmington, De
- M••••• I••••••••• R••••••• L•• unclassifiedAug 7, 2006 to Sep 12, 2008 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• to B••••••••• C•••••• M••••••••• L••left May 13, 2021, registered Jun 4, 2021 (22 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• A••• A•••• M••••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Jul 7, 2015, registered Jul 7, 2015 (0 days) · corporate re-registration, not a move
- O••••••••• • C•• I••• to S••••• A••• A•••• M••••••••• I•••left Sep 16, 2014, registered Sep 12, 2014 (-4 days) · Other
- O•••• F•• I••• to O••••••••• • C•• I•••left Jan 19, 2011, registered Jan 24, 2011 (5 days) · Other
- U••• F•••••••• A••••••• to O•••• F•• I•••left Dec 31, 2010, registered Jan 3, 2011 (3 days) · Other
- M••••• I••••••••• R••••••• L•• to U••• F•••••••• A•••••••left Sep 12, 2008, registered Jul 1, 2008 (-73 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address