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.
M••• J• G•••••••• E••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Jun 12, 2021 · Springfield, Ma
- U•• F•••••••• S••••••• I••• wirehouseDec 17, 2020 to May 24, 2021 · Albany, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedOct 1, 2019 to Oct 1, 2020 · Springfield, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 14, 2011 to Jul 13, 2018 · Clifton Park, Ny
- A••••••• P••••••••• A•••••••• I•• formerMar 3, 2010 to Oct 27, 2011 · Holbrook, Ny
- U•• F•••••••• S••••••• I••• to M•• I•••••••• S•••••••• L••left May 24, 2021, registered Jun 12, 2021 (19 days) · Wirehouse to affiliated broker-dealer or bank
- M•• I•••••••• S•••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 1, 2020, registered Dec 17, 2020 (77 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• I•••••••• S•••••••• L••left Jul 13, 2018, registered Oct 1, 2019 (445 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••• P••••••••• A•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 27, 2011, registered Nov 14, 2011 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address