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••••• M•••••
- E••• K••• A••••••• state registered currentsince May 12, 2021 · Saratoga Springs, Ny
- C•••••••• W••••• A•••••••• L•• independent RIADec 13, 2018 to Jan 29, 2021 · Saratoga Springs, Ny
- T••••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 20, 2014 to Dec 31, 2016 · Trumbull, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMSep 30, 2011 to Feb 21, 2012 · Albany, Ny
- C•••••••• W••••• A•••••••• L•• to E••• K••• A•••••••left Jan 29, 2021, registered May 12, 2021 (103 days) · RIA to a state-registered adviser
- T••••••••• F•••••••• A•••••••• L•• to C•••••••• W••••• A•••••••• L••left Dec 31, 2016, registered Dec 13, 2018 (712 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to T••••••••• F•••••••• A•••••••• L••left Feb 21, 2012, registered Feb 20, 2014 (730 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address