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.
P••••••• S•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Mar 9, 2023 · New York, Ny
- W•••• F•••• A••••••• wirehouseAug 11, 2021 to Mar 9, 2023 · New York, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedJan 11, 2019 to Aug 13, 2021 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 9, 2017 to Sep 20, 2017 · New York, Ny
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Mar 9, 2023, registered Mar 9, 2023 (0 days) · channel change inside one enterprise, not a move · moved with a team
- J••••• M••••••••• S•••• L•• to W•••• F•••• A•••••••left Aug 13, 2021, registered Aug 11, 2021 (-2 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••••• M••••••••• S•••• L••left Sep 20, 2017, registered Jan 11, 2019 (478 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address