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••••• P•••
- M••••• S•••••• wirehouse currentsince Nov 23, 2015 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 26, 2012 to Nov 18, 2015 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 21, 2011 to Sep 24, 2012 · Port Jefferson, Ny
- A••••••••• I••• BD affiliatedAug 1, 2008 to Jul 29, 2010 · Encino, Ca
- G••••••• F•••••••• A•••• M••••••••• I•• unclassifiedMay 2, 2007 to Jul 31, 2008 · Encino, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 14, 2005 to Apr 20, 2007 · Encino, Ca
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Nov 18, 2015, registered Nov 23, 2015 (5 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 24, 2012, registered Sep 26, 2012 (2 days) · Other
- A••••••••• I••• to C•••••••• G••••• M•••••• I•••left Jul 29, 2010, registered Apr 21, 2011 (266 days) · Other
- G••••••• F•••••••• A•••• M••••••••• I•• to A••••••••• I•••left Jul 31, 2008, registered Aug 1, 2008 (1 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••••••• F•••••••• A•••• M••••••••• I••left Apr 20, 2007, registered May 2, 2007 (12 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address