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.
N•••••••• S•••••• P•••••••
- P••••••• I••••••••• M••••••••• L•• former currentsince Mar 18, 2022 · Garrison, Ny
- A••••• W••••• M••••••••• L•• formerJun 28, 2012 to May 8, 2018 · Purchase, Ny
- O••••••••• • C•• I••• BD affiliatedApr 11, 2008 to Jun 18, 2012 · Fishkill, Ny
- W••••••••• T•••• I••••••••• A•••••••• I••• otherNov 27, 2006 to Mar 24, 2008 · Baltimore, Md
- A••••• W••••• M••••••••• L•• to P••••••• I••••••••• M••••••••• L••left May 8, 2018, registered Mar 18, 2022 (1410 days) · RIA to RIA
- O••••••••• • C•• I••• to A••••• W••••• M••••••••• L••left Jun 18, 2012, registered Jun 28, 2012 (10 days) · Other
- W••••••••• T•••• I••••••••• A•••••••• I••• to O••••••••• • C•• I•••left Mar 24, 2008, registered Apr 11, 2008 (18 days) · Other
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
- Former SEC-registered adviserderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address