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.
F•••• R••• S••••••
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliated currentsince May 17, 2013 · Norwalk, Ct
- W••••••• R•••••••• M••••••••• I•• formerOct 5, 2009 to Jul 17, 2013 · W•••••••, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 13, 2004 to Jan 12, 2005 · Norwalk, Ct
- W••••••• R•••••••• M••••••••• I•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 17, 2013, registered May 17, 2013 (-61 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W••••••• R•••••••• M••••••••• I••left Jan 12, 2005, registered Oct 5, 2009 (1727 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