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.
A••••• S•••• R••••••
- C•••••• A•••• M••••••••• L•• independent RIA currentsince Apr 21, 2023 · Greenwich, Ct
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 30, 2015 to May 17, 2023 · New York, Ny
- C••••••••• W••••• A••••••• L•• formerNov 22, 2013 to Oct 1, 2015 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to May 19, 2006 · New York, Ny
- P••••••• L•• unclassifiedJun 27, 2002 to Jan 17, 2003 · New York, Ny
- J••• M••••• P•••••• W••••• A••••••• L•• to C•••••• A•••• M••••••••• L••left May 17, 2023, registered Apr 21, 2023 (-26 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C••••••••• W••••• A••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left Oct 1, 2015, registered Sep 30, 2015 (-1 days) · Other · moved with a team
- C••••• S••••• S••••••••• •••• L•• to C••••••••• W••••• A••••••• L••left May 19, 2006, registered Nov 22, 2013 (2744 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- A••••• S•••• R•••••• left J••• M••••• P•••••• W••••• A••••••• L•• for C•••••• A•••• M••••••••• L•• (registered 2023-04-21)May 17, 2023 · Advisor changed firm · fact
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address