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.
S••••• K•••••• S••••••
- R•••• A•••••••• L•• independent RIA currentsince Sep 11, 2023 · New York, Ny
- C•• A•••••••• L•• independent RIAJul 6, 2021 to Sep 20, 2023 · New York, Ny
- W•••• F•••• A••••••• wirehouseFeb 18, 2016 to Jan 9, 2019 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerSep 2, 2015 to Mar 8, 2016 · New York, Ny
- C•• A•••••••• L•• to R•••• A•••••••• L••left Sep 20, 2023, registered Sep 11, 2023 (-9 days) · RIA to RIA
- W•••• F•••• A••••••• to C•• A•••••••• L••left Jan 9, 2019, registered Jul 6, 2021 (909 days) · Wirehouse to independent RIA
- C••••• S••••• S••••••••• •••• L•• to W•••• F•••• A•••••••left Mar 8, 2016, registered Feb 18, 2016 (-19 days) · corporate re-registration, not a move
- S••••• K•••••• S•••••• left C•• A•••••••• L•• for R•••• A•••••••• L•• (registered 2023-09-11)Sep 20, 2023 · 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