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.
R•••••• D••••• L•••
- M••••• S•••••• wirehouse currentsince Aug 13, 2019 · Wellesley, Ma
- D••••••• S••••••••• L•• independent RIASep 13, 2016 to Aug 15, 2017 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 21, 2012 to Sep 16, 2016 · Greenwich, Ct
- D••••••• S••••••••• L•• to M••••• S••••••left Aug 15, 2017, registered Aug 13, 2019 (728 days) · Other
- C•••••••• G••••• M•••••• I••• to D••••••• S••••••••• L••left Sep 16, 2016, registered Sep 13, 2016 (-3 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address