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.
R••••• B••• I••••••
- A•••• • A••••••• G••••• P••••••• independent RIA currentsince Mar 16, 2021 · New York, Ny
- A•••• C•••••• C•••• BD affiliatedJul 7, 2015 to Mar 19, 2021 · New York, Ny
- M•••• F•••••••• A••••••• L•• independent RIAMar 5, 2014 to Sep 17, 2015 · New York, Ny
- C•••••• I••••••••• G•••• A•••••••• L•• unclassifiedJun 18, 2009 to Jul 19, 2010 · New York, Ny
- C•••••• I••••••••• G••••• L•• unclassifiedApr 28, 2008 to Sep 8, 2009 · New York, Ny
- T•• A•••••••• I••• BD affiliatedMar 10, 2006 to Aug 2, 2007 · New York, Ny
- L•••••••• T••••••• A•••• M••••••••• I•• otherJul 23, 2004 to Sep 28, 2005 · New York, Ny
- A•••• C•••••• C•••• to A•••• • A••••••• G••••• P•••••••left Mar 19, 2021, registered Mar 16, 2021 (-3 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- M•••• F•••••••• A••••••• L•• to A•••• C•••••• C••••left Sep 17, 2015, registered Jul 7, 2015 (-72 days) · Other
- C•••••• I••••••••• G•••• A•••••••• L•• to M•••• F•••••••• A••••••• L••left Jul 19, 2010, registered Mar 5, 2014 (1325 days) · Other
- C•••••• I••••••••• G••••• L•• to C•••••• I••••••••• G•••• A•••••••• L••left Sep 8, 2009, registered Jun 18, 2009 (-82 days) · Other
- T•• A•••••••• I••• to C•••••• I••••••••• G••••• L••left Aug 2, 2007, registered Apr 28, 2008 (270 days) · Other
- L•••••••• T••••••• A•••• M••••••••• I•• to T•• A•••••••• I•••left Sep 28, 2005, registered Mar 10, 2006 (163 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address