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.
M••••••• S•• S••••••
- M••••• S•••••• wirehouse currentsince May 13, 2022 · New York, Ny
- B• R•••• W••••• M••••••••• formerJan 21, 2015 to Jan 11, 2022 · New York, Ny
- D••••••• • D••••••• L•• formerJul 9, 2009 to Jan 28, 2015 · New York, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedJan 1, 2007 to Jul 16, 2009 · New York, Ny
- B• R•••• W••••• M••••••••• to M••••• S••••••left Jan 11, 2022, registered May 13, 2022 (122 days) · Affiliated broker-dealer or bank to wirehouse
- D••••••• • D••••••• L•• to B• R•••• W••••• M•••••••••left Jan 28, 2015, registered Jan 21, 2015 (-7 days) · Other · moved with a team
- J••••• M••••••••• S•••• L•• to D••••••• • D••••••• L••left Jul 16, 2009, registered Jul 9, 2009 (-7 days) · Other
- M••••••• S•• S•••••• left B• R•••• W••••• M••••••••• for M••••• S•••••• (registered 2022-05-13)Jan 11, 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address