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.
C•••••• M•••••• W••••
- M••••• S•••••• wirehouse currentsince Dec 1, 2009 · Purchase, Ny
- A••••• A••••••••• formerJul 30, 2003 to Sep 12, 2003 · New York, Ny
- P••••••• A•••• M••••••••• L•• unclassifiedOct 17, 2000 to Nov 26, 2003 · San Antonio, Tx
- A••••• I•••••••• A••••••••• C••• unclassifiedJan 14, 1998 to Jul 18, 2003 · New York, Ny
- P••••••• A•••• M••••••••• L•• to A••••• A•••••••••left Nov 26, 2003, registered Jul 30, 2003 (-119 days) · Other
- A••••• A••••••••• to M••••• S••••••left Sep 12, 2003, registered Dec 1, 2009 (2272 days) · Other
- A••••• I•••••••• A••••••••• C••• to P••••••• A•••• M••••••••• L••left Jul 18, 2003, registered Oct 17, 2000 (-1004 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