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.
C•••••••• L••• M•••••••
- M••••• S•••••• wirehouse currentsince Apr 12, 2023 · New York, Ny
- J••• M••••• P•••••• W••••• A••••••• L•• formerOct 14, 2022 to May 15, 2023 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 2, 2017 to Oct 17, 2022 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJul 18, 2007 to Jun 13, 2017 · New York, Ny
- R•• C•••••• M••••••• L•• national BDSep 10, 2004 to Aug 3, 2007 · Florham Park, Nj
- J••• M••••• P•••••• W••••• A••••••• L•• to M••••• S••••••left May 15, 2023, registered Apr 12, 2023 (-33 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Oct 17, 2022, registered Oct 14, 2022 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 13, 2017, registered Jun 2, 2017 (-11 days) · Wirehouse to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to U•• F•••••••• S••••••• I•••left Aug 3, 2007, registered Jul 18, 2007 (-16 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••••• L••• M••••••• left J••• M••••• P•••••• W••••• A••••••• L•• for M••••• S•••••• (registered 2023-04-12)May 15, 2023 · Advisor changed firm · fact
- C•••••••• L••• M••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2022-10-14)Oct 17, 2022 · Advisor changed firm · fact
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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address