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.
S•••• W•••••• H••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 27, 2016 · New York, Ny
- G•• S••••••••• I••• BD affiliatedNov 18, 2014 to Oct 9, 2015 · Palm Beach Gardens, Fl
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2003 to Oct 8, 2007 · New York, Ny
- E•••••••• A•••••••• L•• national BDMar 25, 2002 to Nov 14, 2003 · New York, Ny
- G•• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 9, 2015, registered Apr 27, 2016 (201 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•• S••••••••• I•••left Oct 8, 2007, registered Nov 18, 2014 (2598 days) · Other
- E•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 14, 2003, registered Nov 4, 2003 (-10 days) · Affiliated broker-dealer or bank 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