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.
D••••• E• P•••
- C••••• P••••••• L•• independent RIA currentsince May 14, 2021 · New York, Ny
- D•••••• A•••••••• L•• formerFeb 4, 2014 to Dec 31, 2015 · New York, Ny
- B•••• C•••• F•••••••• A•••••••• L•• independent RIADec 11, 2012 to Jan 2, 2014 · Mount Olive, Nj
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedMar 9, 2006 to Feb 27, 2012 · Parsippany, Nj
- D•••••• A•••••••• L•• to C••••• P••••••• L••left Dec 31, 2015, registered May 14, 2021 (1961 days) · Other
- B•••• C•••• F•••••••• A•••••••• L•• to D•••••• A•••••••• L••left Jan 2, 2014, registered Feb 4, 2014 (33 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to B•••• C•••• F•••••••• A•••••••• L••left Feb 27, 2012, registered Dec 11, 2012 (288 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address