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•••••• A• M••••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jul 31, 2021 · S••••Town, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 11, 2017 to Aug 16, 2021 · Bayside, Ny
- J••• M••••• S••••••••• L•• wirehouseJul 12, 2016 to Jul 21, 2017 · Islip, Ny
- S••••••••• W••••• M••••••••• L•• formerDec 2, 2015 to May 17, 2016 · Syosset, Ny
- C•••••• I••••••••• A••••••• S•••••••• L•• BD affiliatedJul 15, 2014 to Jul 16, 2015 · Raleigh, Nc
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 16, 2021, registered Jul 31, 2021 (-16 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Jul 21, 2017, registered Sep 11, 2017 (52 days) · Other
- S••••••••• W••••• M••••••••• L•• to J••• M••••• S••••••••• L••left May 17, 2016, registered Jul 12, 2016 (56 days) · Other
- C•••••• I••••••••• A••••••• S•••••••• L•• to S••••••••• W••••• M••••••••• L••left Jul 16, 2015, registered Dec 2, 2015 (139 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
- Wirehousederived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address