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.
N•• A••• A••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 9, 2015 · Staten Island, Ny
- M••••• C•••••• A•••••••• L•• independent RIAOct 1, 2015 to Nov 30, 2015 · Bayonne, Nj
- O••••••• W••••• M••••••••• L•• unclassifiedJan 7, 2013 to Jan 16, 2015 · Woodbury, Ny
- M••••• C•••••• A•••••••• L•• independent RIANov 30, 2012 to Nov 21, 2013 · Staten Island, Ny
- J•• C•••••• A•••••••• L•• formerSep 28, 2010 to Dec 17, 2010 · Staten Island, Ny
- M••••• C•••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 30, 2015, registered Dec 9, 2015 (9 days) · Other
- O••••••• W••••• M••••••••• L•• to M••••• C•••••• A•••••••• L••left Jan 16, 2015, registered Oct 1, 2015 (258 days) · Other
- M••••• C•••••• A•••••••• L•• to O••••••• W••••• M••••••••• L••left Nov 21, 2013, registered Jan 7, 2013 (-318 days) · Other
- J•• C•••••• A•••••••• L•• to M••••• C•••••• A•••••••• L••left Dec 17, 2010, registered Nov 30, 2012 (714 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
- Wirehousederived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address