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••••• S•••••• wirehouse currentsince Sep 23, 2021 · Jericho, Ny
- U•• F•••••••• S••••••• I••• wirehouseJul 19, 2017 to Sep 9, 2021 · New York, Ny
- S•••••••• I••••••••• M••••••••• formerMar 29, 2017 to Jul 17, 2017 · Saint Louis, Mo
- O••••••••• • C•• I••• BD affiliatedOct 24, 2008 to Dec 1, 2008 · New York, Ny
- U•• F•••••••• S••••••• I••• to M••••• S••••••left Sep 9, 2021, registered Sep 23, 2021 (14 days) · Wirehouse to wirehouse
- S•••••••• I••••••••• M••••••••• to U•• F•••••••• S••••••• I•••left Jul 17, 2017, registered Jul 19, 2017 (2 days) · Other
- O••••••••• • C•• I••• to S•••••••• I••••••••• M•••••••••left Dec 1, 2008, registered Mar 29, 2017 (3040 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address