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• W••••••
- J•••••••• I••••••••• A••••••• L•• mixed wealth currentsince May 24, 2023 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerNov 30, 2022 to Aug 14, 2023 · New York, Ny
- R•• S••••••••• I••• BD affiliatedJun 5, 2015 to Nov 28, 2022 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 23, 2015 to Apr 6, 2015 · Boston, Ma
- J••• M••••• P•••••• W••••• A••••••• L•• formerOct 4, 2012 to Feb 25, 2015 · San Francisco, Ca
- M••••• S•••••• wirehouseOct 25, 2010 to Jan 27, 2012 · Purchase, Ny
- L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••left Aug 14, 2023, registered May 24, 2023 (-82 days) · corporate re-registration, not a move
- R•• S••••••••• I••• to L••••••• A•••• M••••••••• L••left Nov 28, 2022, registered Nov 30, 2022 (2 days) · RIA to RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• S••••••••• I•••left Apr 6, 2015, registered Jun 5, 2015 (60 days) · Other
- J••• M••••• P•••••• W••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 25, 2015, registered Mar 23, 2015 (26 days) · Other
- M••••• S•••••• to J••• M••••• P•••••• W••••• A••••••• L••left Jan 27, 2012, registered Oct 4, 2012 (251 days) · Other
- A••• I• W•••••• left R•• S••••••••• I••• for L••••••• A•••• M••••••••• L•• (registered 2022-11-30)Nov 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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address