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•••••• J•••• S••••••
- C••••••• P••• C•••••• L•• independent RIA currentsince Jun 25, 2012 · Saratoga Springs, Ny
- P•• A••••••• S•••••••• L•• independent RIAMar 1, 2011 to Jun 21, 2012 · Albany, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 21, 2005 to May 21, 2009 · Clifton P•••, Ny
- P•• A••••••• S•••••••• L•• to C••••••• P••• C•••••• L••left Jun 21, 2012, registered Jun 25, 2012 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P•• A••••••• S•••••••• L••left May 21, 2009, registered Mar 1, 2011 (649 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address