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 Apr 28, 2023 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 2, 2023 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 9, 2007 to Oct 1, 2012 · New York, Ny
- A••••••• E•••••••• I••• formerMay 22, 2006 to Jul 18, 2006 · Chicago, Il
- J••• M••••• S••••••••• L•• to M••••• S••••••left May 2, 2023, registered Apr 28, 2023 (-4 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- A••••••• E•••••••• I••• to C•••• I••••••••• S••••••• C••••left Jul 18, 2006, registered Mar 9, 2007 (234 days) · Other
- B•••• A• J••••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2023-04-28)May 2, 2023 · Advisor changed firm · fact
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