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.
L••• F••••••• R•••••••••
- M••••• S•••••• wirehouse currentsince Apr 23, 2021 · Ridgefield, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Apr 26, 2021 · Long Island City, Ny
- C••••••• I••••••••• S••••••• unclassifiedDec 6, 2004 to May 29, 2007 · New York, Ny
- B•• M••••• S••••••••• C••••••••• otherOct 14, 2003 to Dec 15, 2003 · New York, Ny
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Apr 26, 2021, registered Apr 23, 2021 (-3 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- B•• M••••• S••••••••• C••••••••• to C••••••• I••••••••• S•••••••left Dec 15, 2003, registered Dec 6, 2004 (357 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