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••••••••• N•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Oct 29, 2020 · Harvey Cedars, Nj
- O••••••••• • C•• I••• BD affiliatedFeb 23, 2007 to Mar 1, 2011 · Stamford, Ct
- B•••• H•••• I••••••••• L••• independent RIAAug 1, 2005 to Feb 23, 2007 · Greenwich, Ct
- O••••••••• • C•• I••• to U•• F•••••••• S••••••• I•••left Mar 1, 2011, registered Oct 29, 2020 (3530 days) · Other
- B•••• H•••• I••••••••• L••• to O••••••••• • C•• I•••left Feb 23, 2007, registered Feb 23, 2007 (0 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
- Wirehousederived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address