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.
J••• M•••••• F••••
- L•• E••••••••• L•• BD affiliated currentsince Jan 8, 2025 · Bedminster, Nj
- E•••••••• A•••••••• L•• national BDOct 7, 2016 to Feb 11, 2020 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Oct 9, 2014 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 7, 2009 to Oct 1, 2012 · New York, Ny
- E•••••••• A•••••••• L•• to L•• E••••••••• L••left Feb 11, 2020, registered Jan 8, 2025 (1793 days) · Affiliated broker-dealer or bank to a newly registered adviser
- J••• M••••• S••••••••• L•• to E•••••••• A•••••••• L••left Oct 9, 2014, registered Oct 7, 2016 (729 days) · Wirehouse to affiliated broker-dealer or bank
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address