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.
E•••••••• L••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Apr 3, 2023 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 30, 2019 to Apr 4, 2023 · Southampton, Ny
- L•• F•••••••• L•• BD affiliatedApr 24, 2018 to Aug 26, 2019 · Westhampton Beach, Ny
- C•••••• O•• A•••••••• L•• formerAug 3, 2016 to Apr 23, 2018 · Mclean, Va
- J••• M••••• S••••••••• L•• wirehouseApr 28, 2016 to Jul 6, 2016 · East Hampton, Ny
- M••••• S•••••• wirehouseMar 23, 2015 to Feb 1, 2016 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left Apr 4, 2023, registered Apr 3, 2023 (-1 days) · Wirehouse to wirehouse
- L•• F•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 26, 2019, registered Jul 30, 2019 (-27 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• O•• A•••••••• L•• to L•• F•••••••• L••left Apr 23, 2018, registered Apr 24, 2018 (1 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- J••• M••••• S••••••••• L•• to C•••••• O•• A•••••••• L••left Jul 6, 2016, registered Aug 3, 2016 (28 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Feb 1, 2016, registered Apr 28, 2016 (87 days) · Wirehouse to wirehouse · moved with a team
- E•••••••• L•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• S••••••••• L•• (registered 2023-04-03)Apr 4, 2023 · Advisor changed firm · fact
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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address