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.
I••••••• B••••••• E••••
- A••••••• F•••••••• A•••••••• L•• BD affiliated currentsince Oct 19, 2023 · Elmsford, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedAug 20, 2013 to Mar 7, 2017 · White Plains, Ny
- S••••• F•••••••• G•••• I•• formerMar 29, 2011 to Dec 31, 2011 · White Plains, Ny
- E•••••••• A•••••••• L•• national BDFeb 21, 2003 to Mar 14, 2011 · White Plains, Ny
- S••••••• I••••••••• I••• formerSep 28, 2000 to Dec 31, 2002 · East Haven, Ct
- C••••• I••••••••• A••••••• L•• to A••••••• F•••••••• A•••••••• L••left Mar 7, 2017, registered Oct 19, 2023 (2417 days) · Other
- S••••• F•••••••• G•••• I•• to C••••• I••••••••• A••••••• L••left Dec 31, 2011, registered Aug 20, 2013 (598 days) · Other
- E•••••••• A•••••••• L•• to S••••• F•••••••• G•••• I••left Mar 14, 2011, registered Mar 29, 2011 (15 days) · Other
- S••••••• I••••••••• I••• to E•••••••• A•••••••• L••left Dec 31, 2002, registered Feb 21, 2003 (52 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address