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.
W•••••• E••• C••••••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Mar 7, 2024 · Stamford, Ct
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Apr 1, 2022 · Stamford, Ct
- D••••••• S••••••••• L•• independent RIAApr 25, 2018 to Apr 7, 2022 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJun 21, 2016 to Dec 21, 2017 · White Plains, Ny
- D••••••• S••••••••• L•• to R••••••••• C•••••• M•••••••••left Apr 7, 2022, registered Apr 1, 2022 (-6 days) · RIA to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to D••••••• S••••••••• L••left Dec 21, 2017, registered Apr 25, 2018 (125 days) · Wirehouse to independent RIA · moved with a team
- W•••••• E••• C•••••••• left D••••••• S••••••••• L•• for R••••••••• C•••••• M••••••••• (registered 2022-04-01)Apr 7, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address