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•••••• W•••••• N••••
- C•••••• S••••• • C••• I••• national BD currentsince Dec 21, 2023 · Fairfield, Ct
- M••••• S•••••• wirehouseSep 5, 2023 to Nov 28, 2023 · Purchase, Ny
- E•••••• C•••••• M••••••••• L•• formerOct 6, 2017 to Sep 5, 2023 · Scarsdale, Ny
- S•••••••• A••••••• L•• national BDSep 8, 2015 to Sep 13, 2017 · Stamford, Ct
- T• A••••••••• I••• formerOct 31, 2012 to Jul 22, 2015 · Stamford, Ct
- T• A••••••••• I••••••••• M••••••••• L•• formerOct 31, 2012 to Jul 22, 2015 · Stamford, Ct
- R••• A•••••••• L•• formerJun 16, 2011 to Oct 27, 2011 · Danbury, Ct
- O•••• I••••••••• I••• BD affiliatedJan 31, 2008 to Jun 8, 2011 · Darien, Ct
- U•• F•••••••• S••••••• I••• wirehouseMay 17, 2002 to Jan 14, 2003 · Stamford, Ct
- M••••• S•••••• to C•••••• S••••• • C••• I•••left Nov 28, 2023, registered Dec 21, 2023 (23 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to E•••••• C•••••• M••••••••• L••left Sep 13, 2017, registered Oct 6, 2017 (23 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 22, 2015, registered Oct 31, 2012 (-994 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left Jul 22, 2015, registered Sep 8, 2015 (48 days) · Other
- R••• A•••••••• L•• to T• A••••••••• I•••left Oct 27, 2011, registered Oct 31, 2012 (370 days) · Other
- O•••• I••••••••• I••• to R••• A•••••••• L••left Jun 8, 2011, registered Jun 16, 2011 (8 days) · Other
- U•• F•••••••• S••••••• I••• to O•••• I••••••••• I•••left Jan 14, 2003, registered Jan 31, 2008 (1843 days) · Other
- C•••••• W•••••• N•••• left M••••• S•••••• for C•••••• S••••• • C••• I••• (registered 2023-12-21)Nov 28, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address