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.
B•••• F•••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 10, 2014 · Westport, Ct
- K••••• P•••••• W••••• S•••••••• L•• BD affiliatedDec 22, 2011 to Nov 10, 2014 · Westport, Ct
- M••••• S•••••• wirehouseDec 3, 2009 to Jan 3, 2012 · Fairfield, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 21, 2007 to Dec 18, 2009 · Guilford, Ct
- K••••• P•••••• W••••• S•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 10, 2014, registered Dec 10, 2014 (30 days) · Other
- M••••• S•••••• to K••••• P•••••• W••••• S•••••••• L••left Jan 3, 2012, registered Dec 22, 2011 (-12 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Dec 18, 2009, registered Dec 3, 2009 (-15 days) · Wirehouse to wirehouse
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address