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.
S•••••• N••••• B••••••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Jul 29, 2021 · New York, Ny
- G•• A••••••• S•••••••• L•• asset managerMay 5, 2017 to Dec 31, 2017 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 20, 2011 to May 15, 2015 · New York, Ny
- C•• C••••••••• I••• unclassifiedJul 20, 2001 to May 20, 2008 · Portland, Or
- G•• A••••••• S•••••••• L•• to T••••• A••••••• S•••••••• I•••left Dec 31, 2017, registered Jul 29, 2021 (1306 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•• A••••••• S•••••••• L••left May 15, 2015, registered May 5, 2017 (721 days) · Other
- C•• C••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 20, 2008, registered Jun 20, 2011 (1126 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