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.
- M•••••• BD affiliated currentsince Jun 12, 2021 · New York, Ny
- M•••••• W••••• A••••••• formerDec 19, 2017 to Dec 31, 2018 · Manasquan, Nj
- M•••••• W••••• A••••••• formerDec 19, 2017 to Jul 3, 2018 · Madison, Nj
- M•••••• W••••• A••••••• formerDec 19, 2017 to Mar 31, 2018 · New York, Ny
- S••••••• P••••••• independent RIAJan 10, 2013 to Sep 12, 2017 · Glastonbury, Ct
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerJan 3, 2007 to Jul 28, 2008 · New Y•••, Ny
- T••••••••• A••••••• I•• asset managerApr 7, 2006 to Jul 18, 2006 · Cincinnati, Oh
- W•••••• • R••• formerOct 29, 2004 to Mar 9, 2006 · Hartford, Ct
- M•••••• W••••• A••••••• to M••••••left Dec 31, 2018, registered Jun 12, 2021 (894 days) · RIA to affiliated broker-dealer or bank
- M•••••• W••••• A••••••• to M•••••• W••••• A•••••••left Jul 3, 2018, registered Dec 19, 2017 (-196 days) · channel change inside one enterprise, not a move
- M•••••• W••••• A••••••• to M•••••• W••••• A•••••••left Mar 31, 2018, registered Dec 19, 2017 (-102 days) · channel change inside one enterprise, not a move
- S••••••• P••••••• to M•••••• W••••• A•••••••left Sep 12, 2017, registered Dec 19, 2017 (98 days) · Other
- N•• Y••• L••• I••••••••• M••••••••• L•• to S••••••• P•••••••left Jul 28, 2008, registered Jan 10, 2013 (1627 days) · Other
- T••••••••• A••••••• I•• to N•• Y••• L••• I••••••••• M••••••••• L••left Jul 18, 2006, registered Jan 3, 2007 (169 days) · Other
- W•••••• • R••• to T••••••••• A••••••• I••left Mar 9, 2006, registered Apr 7, 2006 (29 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address