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.
E•••• D•••• K•••
- J••• M••••• S••••••••• L•• wirehouse currentsince May 18, 2015 · Boston, Ma
- M••••• S•••••• wirehouseMar 30, 2012 to Sep 4, 2013 · Philadelphia, Pa
- M••••• S•••••• wirehouseMar 30, 2011 to Feb 16, 2012 · Lawrenceville, Nj
- C••••• S••••• S••••••••• •••• L•• formerJan 14, 2009 to Apr 15, 2011 · New York, Ny
- M••••• S•••••• to J••• M••••• S••••••••• L••left Sep 4, 2013, registered May 18, 2015 (621 days) · Wirehouse to wirehouse
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Apr 15, 2011, registered Mar 30, 2011 (-16 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address