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.
K•••••• G••••• G••••••••
- M••••• S•••••• wirehouse currentsince Jun 28, 2019 · Greenwich, Ct
- J••• M••••• S••••••••• L•• wirehouseMar 6, 2015 to Jul 2, 2019 · White Plains, Ny
- D••••••• B••• S••••••••• I••• no RAUMDec 2, 2009 to Mar 31, 2015 · Greenwich, Ct
- U•• F•••••••• S••••••• I••• wirehouseAug 16, 2007 to Dec 2, 2009 · Stamford, Ct
- J••• M••••• S••••••••• L•• to M••••• S••••••left Jul 2, 2019, registered Jun 28, 2019 (-4 days) · Wirehouse to wirehouse · moved with a team
- D••••••• B••• S••••••••• I••• to J••• M••••• S••••••••• L••left Mar 31, 2015, registered Mar 6, 2015 (-25 days) · Other · moved with a team
- U•• F•••••••• S••••••• I••• to D••••••• B••• S••••••••• I•••left Dec 2, 2009, registered Dec 2, 2009 (0 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
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address