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••• M•••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 13, 2022 · New York, Ny
- C••• P•••••• A•••••••• L•• formerOct 13, 2022 to Jun 30, 2010 · New York, Ny
- M••••• S•••••• wirehouseAug 5, 2016 to Jun 16, 2017 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerSep 2, 2015 to May 13, 2016 · New York, Ny
- M••••• S•••••• to C••• P•••••• A•••••••• L••left Jun 16, 2017, registered Oct 13, 2022 (1945 days) · Other
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left May 13, 2016, registered Aug 5, 2016 (84 days) · corporate re-registration, not a move
- C••• P•••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 30, 2010, registered Oct 13, 2022 (4488 days) · corporate re-registration, not a move
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address