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.
R•••• A••••
- W•••• F•••• A••••••• wirehouse currentsince Jan 24, 2020 · Short Hills, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 6, 2015 to Jan 27, 2020 · New York, Ny
- B••••••• C•••••• I••• formerNov 26, 2012 to Aug 19, 2015 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Jan 27, 2020, registered Jan 24, 2020 (-3 days) · Wirehouse to wirehouse · moved with a team
- B••••••• C•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 19, 2015, registered Aug 6, 2015 (-13 days) · Other · moved with a team
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address