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•••••• D•••••• D•••• W•••
- O•••• W•••••• I••• BD affiliated currentsince Jul 22, 2019 · Old Greenwich, Ct
- L•• F•••••••• L•• BD affiliatedFeb 14, 2018 to Jun 17, 2019 · Norwalk, Ct
- I••••• F•••••••• C••••••••• formerOct 19, 2010 to Feb 14, 2018 · Norwalk, Ct
- S••••• E••••••• I•• formerMay 10, 2010 to Oct 19, 2010 · White Plains, Ny
- S••••• F•••••••• R•••••••• I•• formerMay 3, 2010 to Oct 19, 2010 · Parsippany, Nj
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedSep 4, 2009 to Apr 28, 2010 · Danbury, Ct
- T••••••••• F•••••••• A•••••••• I••• unclassifiedApr 29, 2008 to Sep 4, 2009 · Huntington Beach, Ca
- P••• A••••• S••••••••• L•• BD affiliatedJun 28, 2005 to Oct 17, 2007 · White Plains, Ny
- L•• F•••••••• L•• to O•••• W•••••• I•••left Jun 17, 2019, registered Jul 22, 2019 (35 days) · RIA to affiliated broker-dealer or bank
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- S••••• E••••••• I•• to I••••• F•••••••• C•••••••••left Oct 19, 2010, registered Oct 19, 2010 (0 days) · Other
- S••••• F•••••••• R•••••••• I•• to S••••• E••••••• I••left Oct 19, 2010, registered May 10, 2010 (-162 days) · Other
- T••••••••• F•••••••• A•••••••• L•• to S••••• F•••••••• R•••••••• I••left Apr 28, 2010, registered May 3, 2010 (5 days) · Other
- T••••••••• F•••••••• A•••••••• I••• to T••••••••• F•••••••• A•••••••• L••left Sep 4, 2009, registered Sep 4, 2009 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to T••••••••• F•••••••• A•••••••• I•••left Oct 17, 2007, registered Apr 29, 2008 (195 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