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•••••• J••••• D••••
- P••••••••• I••••••••• A••••••• L•• former currentsince May 4, 2018 · Greenwich, Ct
- Q•••••• A•••• M••••••••• I••• formerMay 1, 2015 to May 8, 2018 · Stamford, Ct
- S•• BD affiliatedJan 20, 2010 to May 4, 2015 · Stamford, Ct
- Q•••••• A•••• M••••••••• I••• to P••••••••• I••••••••• A••••••• L••left May 8, 2018, registered May 4, 2018 (-4 days) · Affiliated broker-dealer or bank to a newly registered adviser
- S•• to Q•••••• A•••• M••••••••• I•••left May 4, 2015, registered May 1, 2015 (-3 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
- Former SEC-registered adviserderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address