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.
E••• D• G••••••••
- E•• F•••••••• A••••••• independent RIA currentsince Apr 16, 2014 · Latham, Ny
- P•••• S••••••••• L•• no RAUMFeb 17, 2010 to Jan 30, 2014 · Shelton, Ct
- A••••••• A••••••• S••••••• formerMay 11, 2009 to Feb 16, 2010 · White Plains, Ny
- E•• F•••••••• A••••••• independent RIAFeb 13, 2007 to Jan 2, 2009 · Wilton, Ct
- P•••• S••••••••• L•• no RAUMJul 6, 2004 to Jan 10, 2007 · Shelton, Ct
- P•••• S••••••••• L•• to E•• F•••••••• A•••••••left Jan 30, 2014, registered Apr 16, 2014 (76 days) · Other
- A••••••• A••••••• S••••••• to P•••• S••••••••• L••left Feb 16, 2010, registered Feb 17, 2010 (1 days) · Other
- E•• F•••••••• A••••••• to A••••••• A••••••• S•••••••left Jan 2, 2009, registered May 11, 2009 (129 days) · Other
- P•••• S••••••••• L•• to E•• F•••••••• A•••••••left Jan 10, 2007, registered Feb 13, 2007 (34 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
- Independent wealth managerderived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address