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.
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J•••• M•••••••
- M•••••• BD affiliated currentsince Jul 14, 2022 · New York, Ny
- B•••••••• W••••• P•••••••• L•• formerOct 19, 2021 to Jul 29, 2022 · New York, Ny
- A•••• C•••••• C•••• BD affiliatedDec 11, 2019 to Oct 30, 2020 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Nov 18, 2019 · Boston, Ma
- S•••••••• A••••••• L•• national BDApr 22, 2013 to Jul 13, 2018 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedNov 8, 2006 to Feb 19, 2008 · New York, Ny
- B•••••••• W••••• P•••••••• L•• to M••••••left Jul 29, 2022, registered Jul 14, 2022 (-15 days) · RIA to affiliated broker-dealer or bank
- A•••• C•••••• C•••• to B•••••••• W••••• P•••••••• L••left Oct 30, 2020, registered Oct 19, 2021 (354 days) · Affiliated broker-dealer or bank to independent RIA
- F••••••• P••••••• A•• W•••••••• A••••••• to A•••• C•••••• C••••left Nov 18, 2019, registered Dec 11, 2019 (23 days) · Affiliated broker-dealer or bank to another
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to S•••••••• A••••••• L••left Feb 19, 2008, registered Apr 22, 2013 (1889 days) · Other
- J•••• M••••••• left B•••••••• W••••• P•••••••• L•• for Mariner (registered 2022-07-14)Jul 29, 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