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.
G••••• R••••• O•••••
- S•••••• R••• • C••• L•• independent RIA currentsince Apr 9, 2020 · New York, Ny
- S••••• F•••••••• A•••••••• L•• formerJun 21, 2018 to Aug 20, 2019 · New York, Ny
- P•••••• mixed wealthJun 9, 2017 to Jan 7, 2019 · Shelton, Ct
- U•• F•••••••• S••••••• I••• wirehouseJun 3, 2014 to Jun 13, 2017 · Stamford, Ct
- N••••••••• M••••• I••••••••• S••••••••• no RAUMDec 17, 2013 to May 20, 2014 · Fairfield, Ct
- S••••• F•••••••• A•••••••• L•• to S•••••• R••• • C••• L••left Aug 20, 2019, registered Apr 9, 2020 (233 days) · RIA to RIA
- P•••••• to S••••• F•••••••• A•••••••• L••left Jan 7, 2019, registered Jun 21, 2018 (-200 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to P••••••left Jun 13, 2017, registered Jun 9, 2017 (-4 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to U•• F•••••••• S••••••• I•••left May 20, 2014, registered Jun 3, 2014 (14 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address