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.
E••• D• C•••••••
- G••••• R••••••••• P••••••• L•• institutional currentsince Sep 16, 2022 · San Rafael, Ca
- D••••• A•••••••• L•• formerJun 2, 2022 to Dec 5, 2022 · Latham, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 24, 2017 to Jan 31, 2022 · Providence, Ri
- D••••• A•••••••• L•• to G••••• R••••••••• P••••••• L••left Dec 5, 2022, registered Sep 16, 2022 (-80 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••• A•••••••• L••left Jan 31, 2022, registered Jun 2, 2022 (122 days) · Other
- E••• D• C••••••• left D••••• A•••••••• L•• for G••••• R••••••••• P••••••• L•• (registered 2022-09-16)Dec 5, 2022 · Advisor changed firm · fact
- E••• D• C••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for D••••• A•••••••• L•• (registered 2022-06-02)Jan 31, 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
- Institutional managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address