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.
M•••••• R••••• T•••••
- E•••••• A••••••• G••••• L•• BD affiliated currentsince Nov 22, 2023 · Congers, Ny
- A•• I••••••••• S•••••••• I••• asset managerSep 17, 2010 to May 18, 2016 · Shelton, Ct
- C•••• I••••••••• S••••••• C•••• formerNov 20, 2009 to Sep 9, 2010 · Greenwich, Ct
- A•••••• G••••• I•••••••• M•••••• A••••••• L•• formerFeb 24, 2003 to Aug 17, 2007 · Stamford, Ct
- A•• I••••••••• S•••••••• I••• to E•••••• A••••••• G••••• L••left May 18, 2016, registered Nov 22, 2023 (2744 days) · Other
- C•••• I••••••••• S••••••• C•••• to A•• I••••••••• S•••••••• I•••left Sep 9, 2010, registered Sep 17, 2010 (8 days) · Other
- A•••••• G••••• I•••••••• M•••••• A••••••• L•• to C•••• I••••••••• S••••••• C••••left Aug 17, 2007, registered Nov 20, 2009 (826 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