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.
D••••••• L•••••••
- R•• W••••• B•••••••• I••• independent RIA currentsince Jun 20, 2023 · Staten Island, Ny
- C•••••• independent RIAFeb 17, 2023 to Jun 23, 2023 · New York, Ny
- R•••••••• I••••••••• formerDec 3, 2021 to Jun 23, 2023 · Miami, Fl
- R•••••••• I••••••••• to C••••••left Jun 23, 2023, registered Feb 17, 2023 (-126 days) · RIA to RIA
- C•••••• to R•• W••••• B•••••••• I•••left Jun 23, 2023, registered Jun 20, 2023 (-3 days) · Affiliated broker-dealer or bank to independent RIA
- D••••••• L••••••• left Corient for R•• W••••• B•••••••• I••• (registered 2023-06-20)Jun 23, 2023 · Advisor changed firm · fact
- D••••••• L••••••• left R•••••••• I••••••••• for Corient (registered 2023-02-17)Jun 23, 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
- Independent wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address