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.
G•••••• A••• M••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Apr 16, 2021 · New York, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedJun 22, 2007 to Oct 21, 2016 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 11, 2006 to Jul 5, 2007 · New York, Ny
- J••••• M••••••••• S•••• L•• to A••••••••• F•••••••• S•••••••• L••left Oct 21, 2016, registered Apr 16, 2021 (1638 days) · Other
- O••••••••• • C•• I••• to J••••• M••••••••• S•••• L••left Jul 5, 2007, registered Jun 22, 2007 (-13 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
- National broker-dealer RIAderived
- Years in industry
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address