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.
J••••• M••• H••••••
- W•••• F•••• A••••••• wirehouse currentsince Dec 1, 2023 · Manchester, Nh
- R•••••• J•••• • A••••••••• I••• national BDMar 22, 2019 to Dec 12, 2023 · New York, Ny
- S•••••• C•••••• A••••••• L•• BD affiliatedMay 13, 2016 to Mar 4, 2019 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 9, 2012 to May 17, 2016 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseMar 12, 2010 to Nov 23, 2012 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseAug 5, 2005 to Mar 19, 2010 · Weehawken, Nj
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Dec 12, 2023, registered Dec 1, 2023 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••• C•••••• A••••••• L•• to R•••••• J•••• • A••••••••• I•••left Mar 4, 2019, registered Mar 22, 2019 (18 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to S•••••• C•••••• A••••••• L••left May 17, 2016, registered May 13, 2016 (-4 days) · Other
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 23, 2012, registered Nov 9, 2012 (-14 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Mar 19, 2010, registered Mar 12, 2010 (-7 days) · Wirehouse to wirehouse
- J••••• M••• H•••••• left R•••••• J•••• • A••••••••• I••• for W•••• F•••• A••••••• (registered 2023-12-01)Dec 12, 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
- Wirehousederived
- Years in industry
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address