Richard L. Intrater
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Lee Intrater, who also goes by Richard L. Intrater, Rick Intrater, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1980. Richard had worked at 10 firms and has passed the Series 65, Series 63, Series 5 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2019 - June 16, 2026
VIVALDI CAPITAL MANAGEMENT LP
November 7, 2017 - July 30, 2018
VIVALDI CAPITAL MANAGEMENT LP
October 15, 2008 - December 31, 2008
LTS CAPITAL ADVISORS
September 9, 2002 - October 10, 2003
STARMONT ASSET MANAGEMENT, LLC
September 10, 1999 - October 22, 1999
ROBERT W. BAIRD & CO. INCORPORATED
September 10, 1999 - January 30, 2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 17, 1993 - September 30, 1998
MUTUAL SERVICE CORPORATION
September 6, 1989 - April 19, 1993
LEHMAN SPECIAL SECURITIES INC.
September 6, 1989 - April 19, 1993
LEHMAN GOVERNMENT SECURITIES INC.
May 28, 1980 - April 19, 1993
LEHMAN BROTHERS INC.
May 25, 1980 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
Primary Firm SEC Registration
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 5
Date: 10/31/1981
Interest Rate Options ExaminationCurrent Firm
VIVALDI CAPITAL MANAGEMENT LP
CRD#: 160150 / SEC#: 801-73024
Contact information
SEC notice filing (45 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,413 |
| AUM (Assets Under Management) | $ 4,647,085,822 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/23/2026 | ||
| 07/22/2024 | ||
| 10/24/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
