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.
G••• R••• M•••••
- F••• P••••• A•••••••• L•• independent RIA currentsince Mar 4, 2021 · New York, Ny
- M•••• A•••• W••••• M••••••••• •••• I••• unclassifiedMar 31, 2021 to Jan 18, 2022 · Los Angeles, Ca
- M••••• R••••••• state registeredMar 11, 2021 to Jun 21, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseNov 11, 2008 to May 14, 2009 · Mt Kisco, Ny
- M•••• A•••• W••••• M••••••••• •••• I••• to no registered destinationleft Jan 18, 2022 · Departure, no registered destination
- M••••• R••••••• to M•••• A•••• W••••• M••••••••• •••• I•••left Jun 21, 2021, registered Mar 31, 2021 (-82 days) · Other
- W•••• F•••• A••••••• to F••• P••••• A•••••••• L••left May 14, 2009, registered Mar 4, 2021 (4312 days) · Other
- G••• R••• M••••• no longer registered at M•••• A•••• W••••• M••••••••• •••• I•••; no later IA registration on IAPDJan 18, 2022 · Advisor departure · fact
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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address