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.
T•• S•••• M••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 17, 2021 · New York, Ny
- U•••• A••••••• L•• otherAug 2, 2018 to Dec 10, 2019 · New York, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 26, 2018 to May 1, 2018 · New York, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedJun 2, 2016 to Dec 22, 2017 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedFeb 21, 2012 to May 26, 2016 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJun 11, 2010 to Feb 10, 2012 · New York, Ny
- U•••• A••••••• L•• to C•••••••• G••••• M•••••• I•••left Dec 10, 2019, registered Aug 17, 2021 (616 days) · RIA to affiliated broker-dealer or bank
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•••• A••••••• L••left May 1, 2018, registered Aug 2, 2018 (93 days) · Other · moved with a team
- A••••• A•• P••••••• S••••••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 22, 2017, registered Jan 26, 2018 (35 days) · Other
- H••• S••••••••• •••• I••• to A••••• A•• P••••••• S•••••••left May 26, 2016, registered Jun 2, 2016 (7 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Feb 10, 2012, registered Feb 21, 2012 (11 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address