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•••••• H••••••• C••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Nov 2, 2017 · New York, Ny
- M••••• S•••••• wirehouseJul 27, 2011 to Nov 6, 2017 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 30, 2009 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedJun 17, 2008 to Jun 1, 2009 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedMay 16, 2008 to Jun 4, 2008 · New York, Ny
- L••••• B••••••• I••• unclassifiedMar 22, 2005 to Jun 4, 2008 · New York, Ny
- C•••• • C••••••• I••• unclassifiedJul 29, 2004 to Dec 13, 2004 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJan 13, 2004 to Mar 22, 2004 · New York, Ny
- M••••• S•••••• to J••• M••••• S••••••••• L••left Nov 6, 2017, registered Nov 2, 2017 (-4 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••••• B••••••• I••• to M••••• S•••••• • C•• L••left Jun 4, 2008, registered May 16, 2008 (-19 days) · Other
- C•••• • C••••••• I••• to L••••• B••••••• I•••left Dec 13, 2004, registered Mar 22, 2005 (99 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• • C••••••• I•••left Mar 22, 2004, registered Jul 29, 2004 (129 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address