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•••••• P••••• S••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 26, 2021 · New York, Ny
- O•••• P•••••••• S••••••••• L•• BD affiliatedOct 30, 2013 to May 21, 2014 · Greenwich, Ct
- C••••••••• I••••••••• L•• mixed wealthDec 20, 2005 to Jun 9, 2006 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 10, 2005 to Dec 21, 2005 · Stamford, Ct
- O•••• P•••••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left May 21, 2014, registered Oct 26, 2021 (2715 days) · Other
- C••••••••• I••••••••• L•• to O•••• P•••••••• S••••••••• L••left Jun 9, 2006, registered Oct 30, 2013 (2700 days) · Other
- C•••••••• G••••• M•••••• I••• to C••••••••• I••••••••• L••left Dec 21, 2005, registered Dec 20, 2005 (-1 days) · corporate re-registration, not a move
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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address