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••••• N••••••• M•••••••
- L•• F•••••••• L•• BD affiliated currentsince Jan 14, 2025 · Boca Raton, Fl
- J••• M••••• S••••••••• L•• wirehouseMay 9, 2016 to Sep 10, 2019 · Rye Brook, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDApr 22, 2016 to May 4, 2016 · Tarrytown, Ny
- W•••• F•••• A••••••• wirehouseApr 22, 2010 to Apr 27, 2016 · Purchase, Ny
- J••• M••••• S••••••••• L•• to L•• F•••••••• L••left Sep 10, 2019, registered Jan 14, 2025 (1953 days) · Wirehouse to affiliated broker-dealer or bank
- A••••••••• F•••••••• S•••••••• L•• to J••• M••••• S••••••••• L••left May 4, 2016, registered May 9, 2016 (5 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Apr 27, 2016, registered Apr 22, 2016 (-5 days) · Wirehouse to affiliated broker-dealer or bank
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address