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.
A•••••• I••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 20, 2018 · Boston, Ma
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to May 8, 2018 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedMar 25, 2008 to Jan 28, 2015 · Melville, Ny
- I••• S••••••••• I••• unclassifiedAug 1, 2006 to Mar 24, 2008 · Purchase, Ny
- N•••••••• B••••• B• L•• no RAUMSep 19, 2005 to Apr 13, 2006 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Aug 1, 2005 · New York, Ny
- Q•••• • R•••••• I••• unclassifiedNov 25, 2002 to Oct 20, 2004 · New York, Ny
- C•••••• O•• A•••••••• L•• to J••• M••••• S••••••••• L••left May 8, 2018, registered Aug 20, 2018 (104 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Mar 24, 2008, registered Mar 25, 2008 (1 days) · Other
- N•••••••• B••••• B• L•• to I••• S••••••••• I•••left Apr 13, 2006, registered Aug 1, 2006 (110 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to N•••••••• B••••• B• L••left Aug 1, 2005, registered Sep 19, 2005 (49 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address