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.
J••• Z•••••• S•••••••••
- M••••• S•••••• wirehouse currentsince Apr 28, 2021 · New York, Ny
- W•••• F•••• A••••••• wirehouseApr 18, 2019 to May 3, 2021 · New York, Ny
- R•••••• J•••• • A••••••••• I••• national BDSep 12, 2016 to Apr 24, 2019 · New York, Ny
- B••••••• C•••••• I••• formerFeb 27, 2012 to Oct 14, 2015 · New York, Ny
- W•••• F•••• A••••••• to M••••• S••••••left May 3, 2021, registered Apr 28, 2021 (-5 days) · Wirehouse to wirehouse · moved with a team
- R•••••• J•••• • A••••••••• I••• to W•••• F•••• A•••••••left Apr 24, 2019, registered Apr 18, 2019 (-6 days) · Affiliated broker-dealer or bank to wirehouse
- B••••••• C•••••• I••• to R•••••• J•••• • A••••••••• I•••left Oct 14, 2015, registered Sep 12, 2016 (334 days) · Other · moved with a team
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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address