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.
R•••••• E••••••
- C•••••• S••••• • C••• I••• national BD currentsince Oct 21, 2020 · Fairfield, Ct
- T• A••••••••• I••• formerApr 4, 2022 to Oct 14, 2022 · Omaha, Ne
- T•• M••••••••• I•• independent RIAJan 17, 2020 to Sep 21, 2020 · Glen Head, Ny
- T•• M••••••••• I•• independent RIAOct 17, 2019 to Dec 31, 2019 · Glen Head, Ny
- T• A••••••••• I••• formerFeb 27, 2018 to Sep 11, 2019 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerFeb 26, 2018 to Sep 11, 2019 · Omaha, Ne
- S•••••••• I••••••••• M••••••••• formerJan 31, 2017 to Feb 26, 2018 · Saint Louis, Mo
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 10, 2015 to Aug 8, 2016 · White Plains, Ny
- T• A••••••••• I••• to no registered destinationleft Oct 14, 2022 · Departure, no registered destination
- T•• M••••••••• I•• to C•••••• S••••• • C••• I•••left Sep 21, 2020, registered Oct 21, 2020 (30 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Sep 11, 2019, registered Feb 27, 2018 (-561 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T•• M••••••••• I••left Sep 11, 2019, registered Oct 17, 2019 (36 days) · Other
- S•••••••• I••••••••• M••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 26, 2018, registered Feb 26, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••••• I••••••••• M•••••••••left Aug 8, 2016, registered Jan 31, 2017 (176 days) · Other
- R•••••• E•••••• no longer registered at T• A••••••••• I•••; no later IA registration on IAPDOct 14, 2022 · Advisor departure · 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
- National broker-dealer RIAderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address