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.
A••••• W••••• C••••
- M••••• S•••••• wirehouse currentsince Feb 18, 2022 · New York, Ny
- E•••••• C•••••• M••••••••• L•• formerJul 2, 2015 to Sep 5, 2023 · Arlington, Va
- M•••••• W••••• A••••••• formerNov 14, 2014 to Apr 1, 2015 · New York, Ny
- M••••• S•••••• wirehouseMar 9, 2011 to Oct 5, 2011 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 24, 2007 to Mar 9, 2011 · New York, Ny
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Feb 18, 2022 (-564 days) · corporate re-registration, not a move
- M•••••• W••••• A••••••• to E•••••• C•••••• M••••••••• L••left Apr 1, 2015, registered Jul 2, 2015 (92 days) · Other
- M••••• S•••••• to M•••••• W••••• A•••••••left Oct 5, 2011, registered Nov 14, 2014 (1136 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Mar 9, 2011, registered Mar 9, 2011 (0 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address