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.
- M••••• S•••••• wirehouse currentsince Aug 15, 2022 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseSep 28, 2018 to Aug 1, 2022 · San Francisco, Ca
- S•• I••••••••• I••• formerMay 22, 2015 to Dec 31, 2017 · Green Bay, Wi
- W•••••• B•••• • C•••••• L••••• BD affiliatedDec 21, 2010 to May 15, 2015 · Chicago, Il
- J••• M••••• S••••••••• L•• to M••••• S••••••left Aug 1, 2022, registered Aug 15, 2022 (14 days) · Wirehouse to wirehouse · moved with a team
- S•• I••••••••• I••• to J••• M••••• S••••••••• L••left Dec 31, 2017, registered Sep 28, 2018 (271 days) · Affiliated broker-dealer or bank to wirehouse
- W•••••• B•••• • C•••••• L••••• to S•• I••••••••• I•••left May 15, 2015, registered May 22, 2015 (7 days) · Other
- D••••• M• L••••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2022-08-15)Aug 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address