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•••••• R• C••••••••
- M••••• S•••••• wirehouse currentsince Nov 28, 2017 · Hauppauge, Ny
- C• W••••• M••••••••• L•• independent RIAFeb 9, 2015 to Dec 2, 2016 · New York, Ny
- A••••••••• L••• otherMar 3, 2010 to May 13, 2013 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 7, 2009 to Feb 2, 2010 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jan 15, 2008 · New York, Ny
- M••••• S•••••• D• I••• unclassifiedAug 9, 2004 to Apr 2, 2007 · Purc••••, Ny
- C• W••••• M••••••••• L•• to M••••• S••••••left Dec 2, 2016, registered Nov 28, 2017 (361 days) · Other
- A••••••••• L••• to C• W••••• M••••••••• L••left May 13, 2013, registered Feb 9, 2015 (637 days) · Other
- C•••• I••••••••• S••••••• C•••• to A••••••••• L•••left Feb 2, 2010, registered Mar 3, 2010 (29 days) · Other
- M••••• S•••••• • C•• L•• to C•••• I••••••••• S••••••• C••••left Jan 15, 2008, registered May 7, 2009 (478 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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