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.
A••• S•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 22, 2013 · Brooklyn, Ny
- O••••••••• • C•• I••• BD affiliatedJan 12, 2010 to Jan 29, 2013 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 17, 2009 · Long Island City, Ny
- C••••••• I••••••••• S••••••• unclassifiedMay 2, 2006 to May 29, 2007 · Staten Island, Ny
- O••••••••• • C•• I••• to J••• M••••• S••••••••• L••left Jan 29, 2013, registered Jan 22, 2013 (-7 days) · Other
- C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••left Dec 17, 2009, registered Jan 12, 2010 (26 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address