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.
L••• S••••• E•••••
- B•••••••• A•••• M••••••••• L•• independent RIA currentsince May 15, 2024 · Reno, Nv
- S•• W••••• M••••••••• L•• unclassifiedJan 9, 2015 to Nov 2, 2015 · Stamford, Ct
- T••••• C•••••• M••••••••• L•• asset managerSep 18, 2014 to Aug 3, 2015 · Stamford, Ct
- T••••• W••••• M••••••••• L•• formerJul 27, 2012 to May 11, 2017 · Stamford, Ct
- T••••• W••••• M••••••••• L•• to T••••• C•••••• M••••••••• L••left May 11, 2017, registered Sep 18, 2014 (-966 days) · Other · moved with a team
- S•• W••••• M••••••••• L•• to B•••••••• A•••• M••••••••• L••left Nov 2, 2015, registered May 15, 2024 (3117 days) · Other · moved with a team
- T••••• C•••••• M••••••••• L•• to S•• W••••• M••••••••• L••left Aug 3, 2015, registered Jan 9, 2015 (-206 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
- Independent wealth managerderived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address