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.
B•••• P•••••• D•••••••
- M••••• S•••••• wirehouse currentsince Jun 11, 2021 · Wall Township, Nj
- J••• M••••• S••••••••• L•• wirehouseSep 22, 2011 to Jun 16, 2021 · New York, Ny
- B••••••• C•••••• I••• formerJan 21, 2009 to Oct 6, 2011 · New York, Ny
- L••••• B••••••• I••• unclassifiedFeb 13, 2008 to Oct 15, 2008 · New York, Ny
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jun 16, 2021, registered Jun 11, 2021 (-5 days) · Wirehouse to wirehouse
- B••••••• C•••••• I••• to J••• M••••• S••••••••• L••left Oct 6, 2011, registered Sep 22, 2011 (-14 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Jan 21, 2009 (98 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address