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.
E•••• L• P•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince May 18, 2022 · Melville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 9, 2018 to Jun 1, 2018 · New York, Ny
- B••••••• C•••••• I••• formerMar 12, 2012 to Dec 15, 2015 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerSep 17, 2008 to Mar 28, 2012 · Greenwich, Ct
- L••••• B••••••• I••• unclassifiedMar 31, 2008 to Sep 24, 2008 · New York, Ny
- B••••••• C•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 15, 2015, registered Jan 9, 2018 (756 days) · Other · moved with a team
- C••••• S••••• S••••••••• •••• L•• to B••••••• C•••••• I•••left Mar 28, 2012, registered Mar 12, 2012 (-16 days) · Other
- L••••• B••••••• I••• to C••••• S••••• S••••••••• •••• L••left Sep 24, 2008, registered Sep 17, 2008 (-7 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