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.
E••••• E••• Z•••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jul 15, 2021 · New York, Ny
- M•• F•••••••• S•••••••• I••• formerSep 30, 2011 to Mar 25, 2017 · New York, Ny
- L•• F•••••••• L•• BD affiliatedDec 9, 2009 to Oct 19, 2011 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 17, 2009 · New York, Ny
- C••••••• I••••••••• S••••••• unclassifiedJan 31, 2006 to May 29, 2007 · Darien, Ct
- A••••••••• A•••••• S•••••••• I••• unclassifiedJul 3, 2003 to Jan 23, 2006 · Stratford, Ct
- A•••• • F•••••••• P•••••••• L•• formerMay 6, 2002 to Dec 2, 2002 · Darien, Ct
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Jul 15, 2021 (1573 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 19, 2011, registered Sep 30, 2011 (-19 days) · Other
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Dec 17, 2009, registered Dec 9, 2009 (-8 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- A••••••••• A•••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Jan 23, 2006, registered Jan 31, 2006 (8 days) · Other
- A•••• • F•••••••• P•••••••• L•• to A••••••••• A•••••• S•••••••• I•••left Dec 2, 2002, registered Jul 3, 2003 (213 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