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••••• P••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 21, 2016 · White Plains, Ny
- W•••• F•••• A••••••• wirehouseMay 5, 2008 to Oct 19, 2016 · Wilton, Ct
- D••••••• B••• S••••••••• I••• no RAUMApr 22, 2004 to May 30, 2008 · Greenwich, Ct
- U•• F•••••••• S••••••• I••• wirehouseOct 29, 2003 to May 10, 2004 · Ridgefield, Ct
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Oct 19, 2016, registered Oct 21, 2016 (2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- D••••••• B••• S••••••••• I••• to W•••• F•••• A•••••••left May 30, 2008, registered May 5, 2008 (-25 days) · Other
- U•• F•••••••• S••••••• I••• to D••••••• B••• S••••••••• I•••left May 10, 2004, registered Apr 22, 2004 (-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
- National broker-dealer RIAderived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address