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••••• S•••••• wirehouse currentsince Dec 11, 2019 · Scituate, Ma
- P••• A••••• S••••••••• L•• BD affiliatedJun 18, 2014 to Nov 5, 2019 · New York, Ny
- D••••••• S••••••••• L•• independent RIAJul 26, 2011 to May 8, 2014 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 5, 2011 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 6, 2001 to Jun 1, 2009 · New York, Ny
- P••• A••••• S••••••••• L•• to M••••• S••••••left Nov 5, 2019, registered Dec 11, 2019 (36 days) · Affiliated broker-dealer or bank to wirehouse
- D••••••• S••••••••• L•• to P••• A••••• S••••••••• L••left May 8, 2014, registered Jun 18, 2014 (41 days) · Other
- M••••• S•••••• to D••••••• S••••••••• L••left Aug 5, 2011, registered Jul 26, 2011 (-10 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address