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.
A••• J•• B••••••••
- C•••••••• F••••••••• I••• BD affiliated currentsince May 31, 2017 · Shelton, Ct
- A••••••• P••••••••• A•••••••• I•• formerApr 11, 2013 to Jun 1, 2017 · Holbrook, Ny
- S•••• A•••• M••••••••• G••••• L•• formerMar 27, 2008 to Apr 18, 2013 · Bridgeport, Ct
- S•••• A•••• M••••••••• I••• unclassifiedFeb 9, 2006 to Dec 31, 2009 · Bridgeport, Ct
- A••••••• P••••••••• A•••••••• I•• to C•••••••• F••••••••• I•••left Jun 1, 2017, registered May 31, 2017 (-1 days) · Other · moved with a team
- S•••• A•••• M••••••••• G••••• L•• to A••••••• P••••••••• A•••••••• I••left Apr 18, 2013, registered Apr 11, 2013 (-7 days) · Other
- S•••• A•••• M••••••••• I••• to S•••• A•••• M••••••••• G••••• L••left Dec 31, 2009, registered Mar 27, 2008 (-644 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address