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.
G••••••• E• Z••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Sep 5, 2006 · Waltham, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 8, 2006 to May 10, 2006 · New York, Ny
- A•••••• I••• unclassifiedAug 26, 2002 to Mar 8, 2006 · Hartford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••••• F•••••••• N••••••left May 10, 2006, registered Sep 5, 2006 (118 days) · Wirehouse to affiliated broker-dealer or bank
- A•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 8, 2006, registered Mar 8, 2006 (0 days) · corporate re-registration, not a move
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address