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•••••• S•••••• H••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Apr 14, 2021 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseMar 24, 2011 to Apr 20, 2021 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedOct 4, 2007 to Apr 5, 2011 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedDec 16, 2002 to Oct 18, 2004 · New York, Ny
- J••• M••••• S••••••••• L•• to U•• F•••••••• S••••••• I•••left Apr 20, 2021, registered Apr 14, 2021 (-6 days) · Wirehouse to wirehouse · moved with a team
- O••••••••• • C•• I••• to J••• M••••• S••••••••• L••left Apr 5, 2011, registered Mar 24, 2011 (-12 days) · Other
- M••••• S•••••• D• I••• to O••••••••• • C•• I•••left Oct 18, 2004, registered Oct 4, 2007 (1081 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address