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.
S••••• M••• E•••••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 28, 2023 · New York, Ny
- M••••• S•••••• wirehouseJun 22, 2021 to Sep 22, 2023 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedFeb 16, 2007 to Mar 1, 2011 · Stamford, Ct
- B•••• H•••• I••••••••• L••• independent RIAOct 27, 2004 to Feb 15, 2007 · Rye Brook,, Ny
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 22, 2023, registered Aug 28, 2023 (-25 days) · Wirehouse to wirehouse · moved with a team
- O••••••••• • C•• I••• to M••••• S••••••left Mar 1, 2011, registered Jun 22, 2021 (3766 days) · Other
- B•••• H•••• I••••••••• L••• to O••••••••• • C•• I•••left Feb 15, 2007, registered Feb 16, 2007 (1 days) · Other
- S••••• M••• E••••••• left M••••• S•••••• for W•••• F•••• A••••••• (registered 2023-08-28)Sep 22, 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
- Wirehousederived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address