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.
A•••• S••••• K•••
- M••••• S•••••• wirehouse currentsince Jan 12, 2021 · Garden City, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 18, 2016 to Jan 12, 2021 · New York, Ny
- I••••• F•••••••• C••••••••• formerOct 13, 2015 to Oct 18, 2016 · Richmond Hill, Ny
- E•••• N••••••• S••••••••• I••• formerMar 6, 2013 to Oct 15, 2015 · Astoria, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 5, 2013 · Elmhurst, Ny
- C•••• I••••••••• S••••••• C•••• formerFeb 27, 2009 to Oct 1, 2012 · Elmhurst, Ny
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jan 12, 2021, registered Jan 12, 2021 (0 days) · Affiliated broker-dealer or bank to wirehouse
- I••••• F•••••••• C••••••••• to C•••••••• G••••• M•••••• I•••left Oct 18, 2016, registered Oct 18, 2016 (0 days) · Other
- E•••• N••••••• S••••••••• I••• to I••••• F•••••••• C•••••••••left Oct 15, 2015, registered Oct 13, 2015 (-2 days) · Other · moved with a team
- J••• M••••• S••••••••• L•• to E•••• N••••••• S••••••••• I•••left Mar 5, 2013, registered Mar 6, 2013 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address