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.
K••• A• M•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 14, 2014 · Greenwich, Ct
- C•••••• S••••• • C••• I••• national BDSep 21, 2009 to Mar 28, 2014 · Stamford, Ct
- C••••• I••••••••• S••••••• L•• formerMay 5, 2008 to Jun 26, 2009 · Fishkill, Ny
- S•••••••• A••••••• L•• national BDJan 5, 2006 to Apr 3, 2007 · Scarsdale, Ny
- C•••••• S••••• • C••• I••• to J••• M••••• S••••••••• L••left Mar 28, 2014, registered Mar 14, 2014 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• I••••••••• S••••••• L•• to C•••••• S••••• • C••• I•••left Jun 26, 2009, registered Sep 21, 2009 (87 days) · Other
- S•••••••• A••••••• L•• to C••••• I••••••••• S••••••• L••left Apr 3, 2007, registered May 5, 2008 (398 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address