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.
D•••• S•••• L•••••
- N•• Y••• L••• I••••••••• M••••••••• L•• asset manager currentsince Aug 25, 2014 · New Y•••, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Aug 20, 2014 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 1, 2008 to Jun 1, 2009 · New Y•••, Ny
- C••••••••• I••••••••• L•• mixed wealthMar 22, 2006 to Apr 9, 2008 · New Y•••, Ny
- M••••• S•••••• to N•• Y••• L••• I••••••••• M••••••••• L••left Aug 20, 2014, registered Aug 25, 2014 (5 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C••••••••• I••••••••• L•• to C•••••••• G••••• M•••••• I•••left Apr 9, 2008, registered Apr 1, 2008 (-8 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address