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.
F•••• S•••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Feb 24, 2022 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMar 30, 2011 to Mar 22, 2022 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 17, 2008 to Apr 1, 2011 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 22, 2008 to Oct 27, 2008 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Dec 6, 2007 · Uniondale, Ny
- C••••••• I••••••••• S••••••• unclassifiedNov 1, 2006 to May 29, 2007 · Uniondale, Ny
- U•• F•••••••• S••••••• I••• to J••• M••••• S••••••••• L••left Mar 22, 2022, registered Feb 24, 2022 (-26 days) · Wirehouse to wirehouse · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Apr 1, 2011, registered Mar 30, 2011 (-2 days) · Wirehouse to wirehouse
- O••••••••• • C•• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 27, 2008, registered Nov 17, 2008 (21 days) · Other
- C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••left Dec 6, 2007, registered Jan 22, 2008 (47 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- F•••• S••••• left U•• F•••••••• S••••••• I••• for J••• M••••• S••••••••• L•• (registered 2022-02-24)Mar 22, 2022 · Advisor changed firm · fact
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