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.
D••••• N• M••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 24, 2019 · Greenwich, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 6, 2010 to Jun 7, 2017 · Stamford, Ct
- P••••••• S••••••••• I••• formerJan 20, 2009 to Jun 9, 2010 · Branford, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 12, 2008 to Jan 22, 2009 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 7, 2017, registered May 24, 2019 (716 days) · Wirehouse to independent RIA
- P••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 9, 2010, registered Dec 6, 2010 (180 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• S••••••••• I•••left Jan 22, 2009, registered Jan 20, 2009 (-2 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address