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.
R••••• A••• W••••••••
- R•••• R••• A••••••• L•• independent RIA currentsince Feb 23, 2022 · Harrison, Ny
- C••••• A•••••• N••••••• L•• formerMay 4, 2021 to Dec 31, 2021 · Harrison, Ny
- S••••• F•••••••• G•••• I•• formerSep 1, 2016 to May 20, 2021 · Harrison, Ny
- V•• A••••••• S••••••• formerApr 8, 2014 to Sep 1, 2016 · Harrison, Ny
- C••••• A•••••• N••••••• L•• to R•••• R••• A••••••• L••left Dec 31, 2021, registered Feb 23, 2022 (54 days) · Affiliated broker-dealer or bank to independent RIA
- S••••• F•••••••• G•••• I•• to C••••• A•••••• N••••••• L••left May 20, 2021, registered May 4, 2021 (-16 days) · channel change inside one enterprise, not a move
- V•• A••••••• S••••••• to S••••• F•••••••• G•••• I••left Sep 1, 2016, registered Sep 1, 2016 (0 days) · corporate re-registration, not a move
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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address