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.
C•••• L••••• S••••
- C•••••• A••••••• BD affiliated currentsince Jul 20, 2018 · Independence, Oh
- L•••••• I••••••••• independent RIA currentsince Jun 2, 2017 · Crystal Lake, Il
- L••••• A•••••••• L•• formerOct 13, 2014 to Oct 4, 2019 · Fairfield, Ct
- P••• A••••• S••••••••• L•• BD affiliatedMay 4, 2012 to Oct 10, 2014 · Westport, Ct
- P•••• S••••••••• L•• no RAUMJan 12, 2011 to Mar 16, 2012 · White Plains, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 20, 2008 to Dec 16, 2010 · Bridgeport, Ct
- P••••••• S••••••••• I••• formerFeb 23, 2007 to May 8, 2008 · Stamford, Ct
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 14, 2005 to Dec 5, 2006 · Stamford, Ct
- C•••• I••••••••• S••••••• C•••• formerApr 30, 2004 to May 4, 2005 · New York, Ny
- T•••• S••••• S••••••••• I••• formerNov 14, 2003 to Mar 15, 2004 · Hartford, Ct
- L••••• A•••••••• L•• to L•••••• I•••••••••left Oct 4, 2019, registered Jun 2, 2017 (-854 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to L••••• A•••••••• L••left Oct 10, 2014, registered Oct 13, 2014 (3 days) · Other
- P•••• S••••••••• L•• to P••• A••••• S••••••••• L••left Mar 16, 2012, registered May 4, 2012 (49 days) · Other
- C•••••••• G••••• M•••••• I••• to P•••• S••••••••• L••left Dec 16, 2010, registered Jan 12, 2011 (27 days) · Other
- P••••••• S••••••••• I••• to C•••••••• G••••• M•••••• I•••left May 8, 2008, registered Jun 20, 2008 (43 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P••••••• S••••••••• I•••left Dec 5, 2006, registered Feb 23, 2007 (80 days) · Other
- C•••• I••••••••• S••••••• C•••• to B••• O• A•••••• I••••••••• S•••••••• I•••left May 4, 2005, registered Jun 14, 2005 (41 days) · Other
- T•••• S••••• S••••••••• I••• to C•••• I••••••••• S••••••• C••••left Mar 15, 2004, registered Apr 30, 2004 (46 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