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.
J••••••• M••• T••••••
- R••••••••• A•• W••••• A• A••••••• L•• institutional currentsince Jun 29, 2018 · Austin, Tx
- C•• P••••••• R••••••••• S••••••• formerApr 12, 2018 to Jul 9, 2018 · Austin, Tx
- K••••• A••••••• S•••••••• L•• BD affiliatedApr 25, 2016 to Apr 16, 2018 · New York, Ny
- N•• A•••••• S•••••••• L•• formerDec 15, 2014 to Sep 22, 2016 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 23, 2010 to Jan 25, 2011 · Mamaroneck, Ny
- E•••••••• A•••••••• L•• national BDJul 16, 2009 to Apr 6, 2010 · Greenwich, Ct
- A••••••••• F•••••••• S•••••••• L•• national BDJun 1, 2006 to May 11, 2009 · Greenwich, Ct
- M••••• S•••••• D• I••• unclassifiedSep 26, 2005 to Apr 3, 2006 · Greenwich, Ct
- C•• P••••••• R••••••••• S••••••• to R••••••••• A•• W••••• A• A••••••• L••left Jul 9, 2018, registered Jun 29, 2018 (-10 days) · Other · moved with a team
- K••••• A••••••• S•••••••• L•• to C•• P••••••• R••••••••• S•••••••left Apr 16, 2018, registered Apr 12, 2018 (-4 days) · Other
- N•• A•••••• S•••••••• L•• to K••••• A••••••• S•••••••• L••left Sep 22, 2016, registered Apr 25, 2016 (-150 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to N•• A•••••• S•••••••• L••left Jan 25, 2011, registered Dec 15, 2014 (1420 days) · Other
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Apr 6, 2010, registered Mar 23, 2010 (-14 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to E•••••••• A•••••••• L••left May 11, 2009, registered Jul 16, 2009 (66 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• D• I••• to A••••••••• F•••••••• S•••••••• L••left Apr 3, 2006, registered Jun 1, 2006 (59 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
- Institutional managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address