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.
D•••••• E••• B•••••••
- M••••• S•••••• wirehouse currentsince Apr 25, 2022 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 15, 2016 to Apr 1, 2022 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Nov 17, 2016 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 29, 2007 to Jun 1, 2009 · New York, Ny
- S••••• F•••••••• M••••••••• L•• independent RIANov 20, 2006 to Feb 20, 2007 · Parsippany, Nj
- T• A••••••••• I••• formerJul 8, 2004 to Nov 20, 2006 · Scarsdale, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Apr 1, 2022, registered Apr 25, 2022 (24 days) · Wirehouse to wirehouse · moved with a team
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 17, 2016, registered Nov 15, 2016 (-2 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- S••••• F•••••••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••left Feb 20, 2007, registered Jan 29, 2007 (-22 days) · Other
- T• A••••••••• I••• to S••••• F•••••••• M••••••••• L••left Nov 20, 2006, registered Nov 20, 2006 (0 days) · Other
- D•••••• E••• B••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2022-04-25)Apr 1, 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
- Wirehousederived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address