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•••••• T•••••••••
- L•• F•••••••• L•• BD affiliated currentsince May 27, 2022 · San Diego, Ca
- W••••••• F•••••••• S•••••••• I••• formerOct 15, 2021 to Jun 1, 2022 · Poughkeepsie, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 24, 2020 to Sep 8, 2021 · Mount Kisco, Ny
- W••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Jun 1, 2022, registered May 27, 2022 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- C•••••••• G••••• M•••••• I••• to W••••••• F•••••••• S•••••••• I•••left Sep 8, 2021, registered Oct 15, 2021 (37 days) · Affiliated broker-dealer or bank to another
- M•••••• T••••••••• left W••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2022-05-27)Jun 1, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address