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.
S••• F•••••• L••••
- N•••••• A•••••••• L•• BD affiliated currentsince Apr 25, 2023 · Boston, Ma
- P•••••••• independent RIAJun 3, 2021 to Jan 3, 2023 · Englewood, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 6, 2019 to Dec 20, 2020 · Stamford, Ct
- P•••••••• to N•••••• A•••••••• L••left Jan 3, 2023, registered Apr 25, 2023 (112 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••••left Dec 20, 2020, registered Jun 3, 2021 (165 days) · Wirehouse to independent RIA
- S••• F•••••• L•••• left Pathstone for N•••••• A•••••••• L•• (registered 2023-04-25)Jan 3, 2023 · 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address