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.
M•••••• R•••• K••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 27, 2022 · New York, Ny
- W••••••••• A••••••• formerSep 1, 2021 to May 27, 2022 · New York, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedJan 27, 2015 to Aug 2, 2018 · New York, Ny
- L•••• A•••••••• I••• unclassifiedJul 12, 2011 to Sep 5, 2018 · New York, Ny
- W••••••••• A••••••• to J••• M••••• S••••••••• L••left May 27, 2022, registered May 27, 2022 (0 days) · RIA to wirehouse · moved with a team
- L•••• A•••••••• I••• to M•• I•••••••• S•••••••• L••left Sep 5, 2018, registered Jan 27, 2015 (-1317 days) · Other
- M•• I•••••••• S•••••••• L•• to W••••••••• A•••••••left Aug 2, 2018, registered Sep 1, 2021 (1126 days) · Affiliated broker-dealer or bank to independent RIA
- M•••••• R•••• K•••• left W••••••••• A••••••• for J••• M••••• S••••••••• L•• (registered 2022-05-27)May 27, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address