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.
K••••• B•• C•••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 17, 2021 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 11, 2012 to May 12, 2017 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 6, 2011 to Oct 26, 2012 · Forest Hills, Ny
- T• A••••••••• I••• formerApr 6, 2011 to Oct 26, 2012 · Forest Hills, Ny
- S••••• F•••••••• G•••• I•• formerJan 13, 2010 to Dec 21, 2010 · New York, Ny
- L•••• A••••• • C•• L•• asset managerNov 21, 2006 to Aug 3, 2009 · Jersey City, Nj
- C••••••• I••••••••• S••••••• unclassifiedNov 8, 2004 to Aug 16, 2006 · New York, Ny
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left May 12, 2017, registered Aug 17, 2021 (1558 days) · Other · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 26, 2012, registered Apr 6, 2011 (-569 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 26, 2012, registered Apr 6, 2011 (-569 days) · channel change inside one enterprise, not a move
- S••••• F•••••••• G•••• I•• to T• A••••••••• I••••••••• M••••••••• L••left Dec 21, 2010, registered Apr 6, 2011 (106 days) · Other
- L•••• A••••• • C•• L•• to S••••• F•••••••• G•••• I••left Aug 3, 2009, registered Jan 13, 2010 (163 days) · Other
- C••••••• I••••••••• S••••••• to L•••• A••••• • C•• L••left Aug 16, 2006, registered Nov 21, 2006 (97 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address