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.
P•••••• M•••••• D••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Mar 2, 2021 · Danbury, Ct
- R••• A•••••••• L•• formerFeb 4, 2008 to Mar 2, 2021 · Danbury, Ct
- T• W••••• M••••••••• S••••••• I••• unclassifiedApr 1, 2004 to Nov 22, 2006 · New York, Ny
- R••• A•••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Mar 2, 2021, registered Mar 2, 2021 (0 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• W••••• M••••••••• S••••••• I••• to R••• A•••••••• L••left Nov 22, 2006, registered Feb 4, 2008 (439 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