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.
C••••••••• M••• B•••••••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Aug 25, 2021 · New York, Ny
- B•••••• I••••••••• P•••••••• L• otherSep 9, 2013 to Jul 3, 2018 · San Diego, Ca
- A••••••• C•••••• P••••••• formerFeb 25, 2011 to Sep 29, 2011 · San Francisco, Ca
- M••••• S•••••• wirehouseMar 25, 2010 to Jul 2, 2010 · Purchase, Ny
- B•••••• I••••••••• P•••••••• L• to M•• I•••••••• S•••••••• L••left Jul 3, 2018, registered Aug 25, 2021 (1149 days) · Other
- A••••••• C•••••• P••••••• to B•••••• I••••••••• P•••••••• L•left Sep 29, 2011, registered Sep 9, 2013 (711 days) · Other
- M••••• S•••••• to A••••••• C•••••• P•••••••left Jul 2, 2010, registered Feb 25, 2011 (238 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
- 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