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•••••••• R••••• C••••
- O••••••• C•••••• former currentsince Jun 13, 2018 · Palm Beach Gardens, Fl
- O••••••• C•••••• formerFeb 9, 2018 to May 4, 2018 · Palm Beach Gardens, Fl
- F••••••••• B••• • C•• independent RIASep 8, 2017 to Dec 6, 2017 · Darien, Ct
- F••••••••• B••• • C•• independent RIAMar 24, 2017 to Jul 11, 2017 · Darien, Ct
- F••••••••• B••• • C•• independent RIAMar 4, 2013 to Mar 8, 2017 · Darien, Ct
- M••• S••••• M••••••••• C•••••• unclassifiedOct 23, 2002 to Aug 3, 2004 · Wallingford, Ct
- F••••••••• B••• • C•• to O••••••• C••••••left Dec 6, 2017, registered Feb 9, 2018 (65 days) · Other
- M••• S••••• M••••••••• C•••••• to F••••••••• B••• • C••left Aug 3, 2004, registered Mar 4, 2013 (3135 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
- Former SEC-registered adviserderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address