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•••••• J••••• C••••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Sep 15, 2017 · New York, Ny
- A••••••• F•••••••• A•••••••• L•• BD affiliatedApr 25, 2017 to Sep 8, 2017 · Northbrook, Il
- T•• A•••••••• I••• BD affiliatedNov 9, 2016 to Mar 16, 2017 · Buffalo Grove, Il
- M•• I•••••••• S•••••••• L•• BD affiliatedApr 15, 2015 to Sep 28, 2016 · Warren, Nj
- U•• F•••••••• S••••••• I••• wirehouseOct 16, 2013 to Mar 31, 2015 · Weehawken, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 8, 2013 · Purchase, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedNov 28, 2006 to Apr 2, 2007 · Purchase, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedSep 28, 2004 to Nov 13, 2006 · Shelton, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 9, 2004 to Aug 24, 2004 · Greenwich , Ct
- A• G• E•••••• • S•••• I••• unclassifiedSep 13, 2002 to Jan 14, 2004 · Danbury, Ct
- A••••••• F•••••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Sep 8, 2017, registered Sep 15, 2017 (7 days) · Other
- T•• A•••••••• I••• to A••••••• F•••••••• A•••••••• L••left Mar 16, 2017, registered Apr 25, 2017 (40 days) · Other
- M•• I•••••••• S•••••••• L•• to T•• A•••••••• I•••left Sep 28, 2016, registered Nov 9, 2016 (42 days) · Other
- U•• F•••••••• S••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 31, 2015, registered Apr 15, 2015 (15 days) · Other
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Apr 8, 2013, registered Oct 16, 2013 (191 days) · Wirehouse to wirehouse
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- M•• I•••••••• S•••••••• L•• to M••••• S•••••• D• I•••left Nov 13, 2006, registered Nov 28, 2006 (15 days) · Other
- C•••••••• G••••• M•••••• I••• to M•• I•••••••• S•••••••• L••left Aug 24, 2004, registered Sep 28, 2004 (35 days) · Other
- A• G• E•••••• • S•••• I••• to C•••••••• G••••• M•••••• I•••left Jan 14, 2004, registered Jan 9, 2004 (-5 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address