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••••••• M••••
- C•••••• S••••• • C••• I••• national BD currentsince Jan 14, 2025 · Chicago, Il
- B•••• S•••••••• L•• no RAUMSep 15, 2023 to Dec 9, 2024 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDAug 22, 2022 to Sep 17, 2023 · Minneapolis, Mn
- B•••• S•••••••• L•• to C•••••• S••••• • C••• I•••left Dec 9, 2024, registered Jan 14, 2025 (36 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B•••• S•••••••• L••left Sep 17, 2023, registered Sep 15, 2023 (-2 days) · Other
- J••••••• M•••• left B•••• S•••••••• L•• for C•••••• S••••• • C••• I••• (registered 2025-01-14)Dec 9, 2024 · Advisor changed firm · fact
- J••••••• M•••• left A••••••••• F•••••••• S•••••••• L•• for B•••• S•••••••• L•• (registered 2023-09-15)Sep 17, 2023 · Advisor changed firm · fact
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
- National broker-dealer RIAderived
- Years in industry
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address