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•••••• S•••• F••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 19, 2024 · Greenwich, Ct
- T• P•••••• C••••• W••••• L•• BD affiliatedApr 14, 2017 to Jul 24, 2024 · Wilton, Ct
- P••••• F•••••••• S•••••••• L•• formerJun 16, 2015 to Jan 3, 2017 · Greenwich, Ct
- D••••••• S••••••••• L•• independent RIAMay 16, 2012 to May 21, 2015 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to May 15, 2012 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJul 12, 2005 to Oct 23, 2009 · New York, Ny
- T• P•••••• C••••• W••••• L•• to J••• M••••• S••••••••• L••left Jul 24, 2024, registered Jul 19, 2024 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- P••••• F•••••••• S•••••••• L•• to T• P•••••• C••••• W••••• L••left Jan 3, 2017, registered Apr 14, 2017 (101 days) · Other
- D••••••• S••••••••• L•• to P••••• F•••••••• S•••••••• L••left May 21, 2015, registered Jun 16, 2015 (26 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to D••••••• S••••••••• L••left May 15, 2012, registered May 16, 2012 (1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- J•••••• S•••• F•••••• left T• P•••••• C••••• W••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-07-19)Jul 24, 2024 · 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address