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.
C••••••••• B•••• S•••
- M•••••• BD affiliated currentsince Jul 9, 2021 · White Plains, Ny
- E•••••• F•••••••• E•••••• independent RIAOct 16, 2018 to Aug 6, 2021 · New York, Ny
- E•••••• F•••••••• S•••••••• L•• formerAug 10, 2016 to Nov 1, 2018 · New York, Ny
- V•••• F•••••••• A•••••••• I••• BD affiliatedFeb 6, 2014 to Aug 11, 2016 · Glen Rock, Nj
- E•••••• F•••••••• E•••••• to M••••••left Aug 6, 2021, registered Jul 9, 2021 (-28 days) · RIA to affiliated broker-dealer or bank
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Oct 16, 2018 (-16 days) · corporate re-registration, not a move
- V•••• F•••••••• A•••••••• I••• to E•••••• F•••••••• S•••••••• L••left Aug 11, 2016, registered Aug 10, 2016 (-1 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address