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.
T••••• P••• C•••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 16, 2016 · Eagles Mere, Pa
- M••••• S•••••• wirehouseJun 29, 2009 to Sep 30, 2016 · Purchase, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 22, 2009 to May 29, 2009 · Mill Valley, Ca
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 5, 2003 to Jun 27, 2009 · New York, Ny
- M••••• S•••••• to W•••• F•••• A•••••••left Sep 30, 2016, registered Sep 16, 2016 (-14 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 27, 2009, registered May 22, 2009 (-36 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left May 29, 2009, registered Jun 29, 2009 (31 days) · Wirehouse to wirehouse
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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address