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.
M•••••• G••••• R•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Feb 18, 2020 · Santa Barbara, Ca
- M••••• S•••••• wirehouseMar 25, 2011 to Feb 20, 2020 · Santa Barbara, Ca
- K••••• F•••••••• state registeredApr 21, 2010 to Apr 26, 2011 · Santa Barbara, Ca
- J••• M••••• S••••••••• L•• wirehouseMay 2, 2007 to Dec 11, 2009 · New York, Ny
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Feb 20, 2020, registered Feb 18, 2020 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- K••••• F•••••••• to M••••• S••••••left Apr 26, 2011, registered Mar 25, 2011 (-32 days) · Other
- J••• M••••• S••••••••• L•• to K••••• F••••••••left Dec 11, 2009, registered Apr 21, 2010 (131 days) · Wirehouse to a state-registered adviser
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
- National broker-dealer RIAderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address