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•••••• J•••• O•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jan 13, 2021 · New York, Ny
- M••••• S•••••• wirehouseAug 23, 2013 to Jan 12, 2021 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseSep 16, 2005 to Sep 5, 2013 · Morristown, Nj
- R•• C•••••• M••••••• L•• national BDSep 8, 2003 to Sep 29, 2005 · Florham Park, Nj
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Jan 12, 2021, registered Jan 13, 2021 (1 days) · Wirehouse to wirehouse
- J••• M••••• S••••••••• L•• to M••••• S••••••left Sep 5, 2013, registered Aug 23, 2013 (-13 days) · Wirehouse to wirehouse
- R•• C•••••• M••••••• L•• to J••• M••••• S••••••••• L••left Sep 29, 2005, registered Sep 16, 2005 (-13 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address