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.
S••••• H•••••••••
- M••••• S•••••• wirehouse currentsince Sep 28, 2015 · Lawrenceville, Nj
- B•••••••• I••••••••• M••••••••• L•• asset managerFeb 11, 2011 to Apr 15, 2015 · Princeton, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 23, 2007 to Nov 26, 2010 · New York, Ny
- B•••••••• I••••••••• M••••••••• L•• to M••••• S••••••left Apr 15, 2015, registered Sep 28, 2015 (166 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B•••••••• I••••••••• M••••••••• L••left Nov 26, 2010, registered Feb 11, 2011 (77 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address