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.
R•••••• F•••• M•••••••
- O••••••••• • C•• I••• BD affiliated currentsince Nov 24, 2023 · New York, Ny
- M••••• S•••••• wirehouseApr 21, 2017 to Dec 13, 2023 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedFeb 6, 2009 to Apr 24, 2017 · New York, Ny
- M••••• S•••••• to O••••••••• • C•• I•••left Dec 13, 2023, registered Nov 24, 2023 (-19 days) · Wirehouse to affiliated broker-dealer or bank
- O••••••••• • C•• I••• to M••••• S••••••left Apr 24, 2017, registered Apr 21, 2017 (-3 days) · Other
- R•••••• F•••• M••••••• left M••••• S•••••• for O••••••••• • C•• I••• (registered 2023-11-24)Dec 13, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address