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.
J•••••• M••••• B••••••
- K••••• P•••••• W••••• S•••••••• L•• BD affiliated currentsince Jul 10, 2021 · Middletown, Ny
- G••• G••••••• P••••••• S••••••• formerDec 14, 2016 to Oct 17, 2019 · Locust Valley, Ny
- G••• G••••••• P••••••• S••••••• I•• formerDec 18, 2006 to Mar 18, 2015 · Suffern, Ny
- G••• G••••••• P••••••• S••••••• to K••••• P•••••• W••••• S•••••••• L••left Oct 17, 2019, registered Jul 10, 2021 (632 days) · RIA to affiliated broker-dealer or bank
- G••• G••••••• P••••••• S••••••• I•• to G••• G••••••• P••••••• S•••••••left Mar 18, 2015, registered Dec 14, 2016 (637 days) · channel change inside one enterprise, not a move · moved with a team
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address