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.
M••• L•••• G•••••••••
- O••••• W••••• A••••••• state registered currentsince Aug 31, 2020 · New York, Ny
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliatedJun 2, 2016 to Oct 11, 2016 · Darien, Ct
- H•• • C••••••• L•• formerSep 21, 2015 to Jun 3, 2016 · Darien, Ct
- S••••••• P••••••• independent RIAFeb 24, 2013 to Jan 2, 2015 · Glastonbury, Ct
- W••••• E••••••••• A••••••• S•••••••• L•• to O••••• W••••• A•••••••left Oct 11, 2016, registered Aug 31, 2020 (1420 days) · Other
- H•• • C••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 3, 2016, registered Jun 2, 2016 (-1 days) · Other · moved with a team
- S••••••• P••••••• to H•• • C••••••• L••left Jan 2, 2015, registered Sep 21, 2015 (262 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address