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.
R••••• W•••••• G••••
- A••••• A•• P••••••• S••••••• BD affiliated currentsince May 25, 2021 · Melville, Ny
- T• P•••••• C••••• W••••• L•• BD affiliatedNov 1, 2013 to Dec 9, 2014 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 26, 2011 to Oct 24, 2013 · Port Jefferson, Ny
- M••••• S•••••• wirehouseMay 17, 2010 to Feb 11, 2011 · New York, Ny
- T• P•••••• C••••• W••••• L•• to A••••• A•• P••••••• S•••••••left Dec 9, 2014, registered May 25, 2021 (2359 days) · Other
- C•••••••• G••••• M•••••• I••• to T• P•••••• C••••• W••••• L••left Oct 24, 2013, registered Nov 1, 2013 (8 days) · Other
- M••••• S•••••• to C•••••••• G••••• M•••••• I•••left Feb 11, 2011, registered Apr 26, 2011 (74 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address