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.
F•••• J••••• R•••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 17, 2021 · Bronx, Ny
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Jun 4, 2015 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 14, 2004 to Jan 28, 2015 · Bronx, Ny
- E•••• N••••••• S••••••••• I••• formerNov 7, 2003 to Jan 14, 2004 · Lake Success, Ny
- C•••••• O•• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 4, 2015, registered Aug 17, 2021 (2266 days) · Other · moved with a team
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- E•••• N••••••• S••••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Jan 14, 2004, registered Jan 14, 2004 (0 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