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•••••••••
- U•••• A••••••• L•• other currentsince Sep 3, 2021 · New York, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedDec 8, 2014 to May 1, 2018 · Long Island City, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 31, 2011 to Oct 2, 2014 · New York City, Ny
- T• A••••••••• I••• formerJan 31, 2011 to Oct 2, 2014 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Mar 24, 2009 · Brooklyn, Ny
- C••••••• I••••••••• S••••••• unclassifiedAug 18, 2004 to May 29, 2007 · New York, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•••• A••••••• L••left May 1, 2018, registered Sep 3, 2021 (1221 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Oct 2, 2014, registered Jan 31, 2011 (-1340 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 2, 2014, registered Jan 31, 2011 (-1340 days) · Other
- C•••••••• G••••• M•••••• I••• to T• A••••••••• I•••left Mar 24, 2009, registered Jan 31, 2011 (678 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 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
- Other adviserderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address