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••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 14, 2017 · Boston, Ma
- M••••• S•••••• wirehouseMay 9, 2014 to Nov 6, 2017 · West Conshohocken, Pa
- B••••••• C•••••• I••• formerFeb 8, 2010 to May 27, 2014 · Philadelphia, Pa
- L••••• B••••••• I••• unclassifiedFeb 14, 2008 to Oct 15, 2008 · Philadelphia, Pa
- M••••• S•••••• to J••• M••••• S••••••••• L••left Nov 6, 2017, registered Nov 14, 2017 (8 days) · Wirehouse to wirehouse
- B••••••• C•••••• I••• to M••••• S••••••left May 27, 2014, registered May 9, 2014 (-18 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Feb 8, 2010 (481 days) · corporate re-registration, not a move
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address