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.
Y••••• K••••••••• M•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 10, 2019 · Columbus, Oh
- R•• C•••••• M••••••• L•• national BDJul 19, 2017 to May 8, 2019 · Beverly Hills, Ca
- M••••• S•••••• wirehouseMar 28, 2016 to Jul 12, 2017 · Mount Kisco, Ny
- S•••••••• A••••••• L•• national BDJun 4, 2014 to Mar 14, 2016 · Dunwoody, Ga
- S••••••• I••••••••• S•••••••• I••• formerDec 9, 2013 to May 6, 2014 · Norcross, Ga
- H••• S••••••••• •••• I••• BD affiliatedMar 3, 2009 to Sep 20, 2013 · Miami, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 7, 2000 to Feb 10, 2009 · Miami, Fl
- R•• C•••••• M••••••• L•• to J••• M••••• S••••••••• L••left May 8, 2019, registered May 10, 2019 (2 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to R•• C•••••• M••••••• L••left Jul 12, 2017, registered Jul 19, 2017 (7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- S•••••••• A••••••• L•• to M••••• S••••••left Mar 14, 2016, registered Mar 28, 2016 (14 days) · Affiliated broker-dealer or bank to wirehouse
- S••••••• I••••••••• S•••••••• I••• to S•••••••• A••••••• L••left May 6, 2014, registered Jun 4, 2014 (29 days) · Other
- H••• S••••••••• •••• I••• to S••••••• I••••••••• S•••••••• I•••left Sep 20, 2013, registered Dec 9, 2013 (80 days) · Other
- C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••left Feb 10, 2009, registered Mar 3, 2009 (21 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