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•••• A• S••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 23, 2022 · Lakewood, Nj
- S•••••••• S••••••••• BD affiliatedMar 25, 2015 to Jun 25, 2021 · Manalapan, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 26, 2011 to May 6, 2013 · New York, Ny
- S•••••••• S••••••••• to J••• M••••• S••••••••• L••left Jun 25, 2021, registered Feb 23, 2022 (243 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• G••••• M•••••• I••• to S•••••••• S•••••••••left May 6, 2013, registered Mar 25, 2015 (688 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address