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.
E•••• D••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Feb 7, 2019 · Melville, Ny
- W•••• F•••• A••••••• wirehouseDec 16, 2015 to Aug 5, 2016 · Purchase, Ny
- C••••••••• I••••••••• L•• mixed wealthJun 30, 2009 to Aug 30, 2010 · New York, Ny
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 5, 2016, registered Feb 7, 2019 (916 days) · Wirehouse to wirehouse
- C••••••••• I••••••••• L•• to W•••• F•••• A•••••••left Aug 30, 2010, registered Dec 16, 2015 (1934 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address