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.
C•••• R••••• K•••
- P••••••• I••••••••• L•• BD affiliated currentsince Sep 30, 2021 · East Syracuse, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 22, 2019 to Aug 18, 2020 · New York, Ny
- P••••••• I••••••••• L•• BD affiliatedNov 29, 2018 to Aug 8, 2019 · New York, Ny
- C•••••••• G••••• M•••••• I••• to P••••••• I••••••••• L••left Aug 18, 2020, registered Sep 30, 2021 (408 days) · Affiliated broker-dealer or bank to independent RIA
- P••••••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••left Aug 8, 2019, registered Aug 22, 2019 (14 days) · RIA to affiliated broker-dealer or bank
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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address