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••••••• B••••••• R••••••
- E•• F•••••••• A••••••• independent RIA currentsince Apr 8, 2022 · Colchester, Vt
- T•• M••••••••• I•• independent RIAAug 4, 2021 to Apr 13, 2022 · Glen Head, Ny
- P•• A••••••• S•••••••• L•• independent RIAApr 8, 2015 to Jul 22, 2021 · Albany, Ny
- T•• M••••••••• I•• to E•• F•••••••• A•••••••left Apr 13, 2022, registered Apr 8, 2022 (-5 days) · RIA to affiliated broker-dealer or bank
- P•• A••••••• S•••••••• L•• to T•• M••••••••• I••left Jul 22, 2021, registered Aug 4, 2021 (13 days) · RIA to RIA
- B••••••• B••••••• R•••••• left T•• M••••••••• I•• for E•• F•••••••• A••••••• (registered 2022-04-08)Apr 13, 2022 · Advisor changed firm · fact
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
- Independent wealth managerderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address