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.
G••••• C•••••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 17, 2022 · Riverside, Ct
- P••••••• U••••• A•••••••• I••• formerMay 22, 2018 to Aug 17, 2022 · Stamford, Ct
- P••••••• S••••••••• I••• formerApr 26, 2018 to Mar 31, 2020 · Stamford, Ct
- S•••••••• A••••••• L•• national BDMar 16, 2010 to Feb 20, 2018 · Scarsdale, Ny
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to P••••••• U••••• A•••••••• I•••left Mar 31, 2020, registered May 22, 2018 (-679 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to P••••••• S••••••••• I•••left Feb 20, 2018, registered Apr 26, 2018 (65 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