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•••••• J• R••••
- M••••••• V•••• W••••• M••••••••• state registered currentsince Jan 9, 2019 · Santa Barbara, Ca
- M••••••• V•••• W••••• M••••••••• state registeredSep 14, 2018 to Dec 31, 2018 · Ridgefield, Ct
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 23, 2015 to Sep 11, 2018 · Stamford, Ct
- C•••••• G•••• • C• I•• formerJun 9, 2014 to Mar 19, 2015 · Syracuse, Ny
- M••••• S•••••• wirehouseFeb 5, 2011 to Jul 11, 2012 · New York, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to M••••••• V•••• W••••• M•••••••••left Sep 11, 2018, registered Sep 14, 2018 (3 days) · Affiliated broker-dealer or bank to a state-registered adviser
- C•••••• G•••• • C• I•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Mar 19, 2015, registered Jun 23, 2015 (96 days) · Other
- M••••• S•••••• to C•••••• G•••• • C• I••left Jul 11, 2012, registered Jun 9, 2014 (698 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
- STATE REGISTEREDderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address