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.
J•••• G• S••••
- S•••••• C•••••• A••••••• L•• BD affiliated currentsince Jun 1, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseSep 18, 2018 to Jun 1, 2021 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Sep 17, 2018 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerDec 2, 2009 to Oct 1, 2012 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2007 to Dec 22, 2008 · New York, Ny
- W•••• F•••• A••••••• to S•••••• C•••••• A••••••• L••left Jun 1, 2021, registered Jun 1, 2021 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to W•••• F•••• A•••••••left Sep 17, 2018, registered Sep 18, 2018 (1 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Dec 22, 2008, registered Dec 2, 2009 (345 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address