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.
L•••• M•••••• B•••
- N•• E••• W••••• BD affiliated currentsince Apr 29, 2022 · Stamford, Ct
- U•• F•••••••• S••••••• I••• wirehouseOct 15, 2013 to May 12, 2022 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseNov 17, 2004 to Oct 16, 2013 · New York, Ny
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Nov 11, 2004 · New York, Ny
- P••••••••• E••••• G••••• L•• unclassifiedAug 21, 1998 to Jul 1, 2003 · New York, Ny
- U•• F•••••••• S••••••• I••• to N•• E••• W•••••left May 12, 2022, registered Apr 29, 2022 (-13 days) · Wirehouse to independent RIA · moved with a team
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Oct 16, 2013, registered Oct 15, 2013 (-1 days) · Wirehouse to wirehouse
- W•••• F•••• A••••••• to J••• M••••• S••••••••• L••left Nov 11, 2004, registered Nov 17, 2004 (6 days) · Wirehouse to wirehouse
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- L•••• M•••••• B••• left U•• F•••••••• S••••••• I••• for N•• E••• W••••• (registered 2022-04-29)May 12, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address