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.
A•••• S••••• V•••
- G•• S••••••••• I••• BD affiliated currentsince Jun 8, 2018 · Chester, Nj
- G••••••• A•••••••• L•• independent RIAJul 11, 2017 to Jun 12, 2018 · Chester, Nj
- A••••••• P••••••••• A•••••••• I•• formerJun 21, 2016 to Jun 13, 2017 · Holbrook, Ny
- G••••••• A•••••••• L•• to G•• S••••••••• I•••left Jun 12, 2018, registered Jun 8, 2018 (-4 days) · RIA to affiliated broker-dealer or bank
- A••••••• P••••••••• A•••••••• I•• to G••••••• A•••••••• L••left Jun 13, 2017, registered Jul 11, 2017 (28 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address