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.
B••• S•••••• G•••••••
- M••••• S•••••• wirehouse currentsince Feb 13, 2015 · Shrewsbury, Nj
- Z•••• I••••••••• M••••••••• I••• mixed wealthJun 16, 2006 to Mar 26, 2015 · Chicago, Il
- J••••• M••••••••• S•••• L•• BD affiliatedJan 27, 2003 to Jun 22, 2006 · New Haven, Ct
- P••••••••• E••••• G••••• L•• unclassifiedOct 23, 1998 to Jan 10, 2003 · Westport, Ct
- Z•••• I••••••••• M••••••••• I••• to M••••• S••••••left Mar 26, 2015, registered Feb 13, 2015 (-41 days) · Other
- J••••• M••••••••• S•••• L•• to Z•••• I••••••••• M••••••••• I•••left Jun 22, 2006, registered Jun 16, 2006 (-6 days) · Other
- P••••••••• E••••• G••••• L•• to J••••• M••••••••• S•••• L••left Jan 10, 2003, registered Jan 27, 2003 (17 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