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•••••• C• R••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Aug 10, 2021 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedMay 17, 2018 to Sep 20, 2019 · San Francisco, Ca
- U•• F•••••••• S••••••• I••• wirehouseJul 25, 2012 to Apr 17, 2018 · San Francisco, Ca
- E•••••• C•••••• M••••••••• L•• formerJul 22, 2011 to Jul 5, 2012 · Arlington, Va
- U•• F•••••••• S••••••• I••• wirehouseJun 4, 2007 to Jul 15, 2011 · Weehawken, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 11, 2006 to Jun 4, 2007 · Pennington, Nj
- O••••••••• • C•• I••• to J••• M••••• S••••••••• L••left Sep 20, 2019, registered Aug 10, 2021 (690 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Apr 17, 2018, registered May 17, 2018 (30 days) · Wirehouse to affiliated broker-dealer or bank
- E•••••• C•••••• M••••••••• L•• to U•• F•••••••• S••••••• I•••left Jul 5, 2012, registered Jul 25, 2012 (20 days) · Other
- U•• F•••••••• S••••••• I••• to E•••••• C•••••• M••••••••• L••left Jul 15, 2011, registered Jul 22, 2011 (7 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jun 4, 2007, registered Jun 4, 2007 (0 days) · Wirehouse to wirehouse
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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address