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.
G••••••• I•••••••••
- M••••• S•••••• wirehouse currentsince Feb 10, 2016 · Greenwood Village, Co
- C••••• S••••• S••••••••• •••• L•• formerMay 29, 2009 to Mar 2, 2016 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jul 31, 2008 · New York, Ny
- C••••••• I••••••••• S••••••• unclassifiedMar 26, 2007 to May 29, 2007 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Mar 2, 2016, registered Feb 10, 2016 (-21 days) · Other · moved with a team
- C•••••••• G••••• M•••••• I••• to C••••• S••••• S••••••••• •••• L••left Jul 31, 2008, registered May 29, 2009 (302 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address