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.
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F••••••••• M•••••
- R••••• W••••• M••••••••• L•• independent RIA currentsince Apr 27, 2023 · New York, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedOct 15, 2018 to Feb 28, 2022 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 19, 2012 to Mar 23, 2018 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 5, 2005 to Jan 30, 2012 · New York, Ny
- E•••••••• A•••••••• L•• national BDMay 12, 2003 to Jan 11, 2005 · New York, Ny
- J••••• M••••••••• S•••• L•• to R••••• W••••• M••••••••• L••left Feb 28, 2022, registered Apr 27, 2023 (423 days) · Affiliated broker-dealer or bank to independent RIA
- O••••••••• • C•• I••• to J••••• M••••••••• S•••• L••left Mar 23, 2018, registered Oct 15, 2018 (206 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to O••••••••• • C•• I•••left Jan 30, 2012, registered Jan 19, 2012 (-11 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 11, 2005, registered Jan 5, 2005 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- F••••••••• M••••• left J••••• M••••••••• S•••• L•• for R••••• W••••• M••••••••• L•• (registered 2023-04-27)Feb 28, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address