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.
S•••• W•••••• S•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 28, 2016 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerJan 12, 2009 to Apr 1, 2016 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseSep 24, 2004 to Jan 27, 2009 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 21, 2004 to Sep 27, 2004 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left Apr 1, 2016, registered Mar 28, 2016 (-4 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to C••••• S••••• S••••••••• •••• L••left Jan 27, 2009, registered Jan 12, 2009 (-15 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 27, 2004, registered Sep 24, 2004 (-3 days) · Wirehouse to wirehouse
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address