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.
I••••• N• J••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Feb 18, 2022 · New York, Ny
- M••••• S•••••• wirehouseJan 24, 2019 to Jun 3, 2021 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 27, 2018 to Jan 15, 2019 · Brooklyn, Ny
- C•••••• O•• A•••••••• L•• formerDec 11, 2015 to May 3, 2018 · Mclean, Va
- M•• F•••••••• S•••••••• I••• formerJan 30, 2015 to Nov 16, 2015 · New York, Ny
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJan 9, 2014 to Sep 9, 2014 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 24, 2011 to Jan 13, 2012 · New York, Ny
- M••••• S•••••• to C•••••••• G••••• M•••••• I•••left Jun 3, 2021, registered Feb 18, 2022 (260 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 15, 2019, registered Jan 24, 2019 (9 days) · Wirehouse to wirehouse · moved with a team
- C•••••• O•• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 3, 2018, registered Jul 27, 2018 (85 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•• F•••••••• S•••••••• I••• to C•••••• O•• A•••••••• L••left Nov 16, 2015, registered Dec 11, 2015 (25 days) · Other
- N••••••••• M••••• I••••••••• S••••••••• to M•• F•••••••• S•••••••• I•••left Sep 9, 2014, registered Jan 30, 2015 (143 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N••••••••• M••••• I••••••••• S•••••••••left Jan 13, 2012, registered Jan 9, 2014 (727 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address