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.
L•••• D••• L••••••
- D••••••• S••••••••• L•• independent RIA currentsince Aug 28, 2023 · New York, Ny
- M••••• S•••••• wirehouseJul 1, 2010 to Jan 5, 2018 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJul 5, 2007 to Jul 9, 2010 · New York, Ny
- M••••• S•••••• to D••••••• S••••••••• L••left Jan 5, 2018, registered Aug 28, 2023 (2061 days) · Wirehouse to independent RIA
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Jul 9, 2010, registered Jul 1, 2010 (-8 days) · Wirehouse to wirehouse
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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address