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.
M•••••• J• O•••••••
- R•• C•••••• M••••••• L•• national BD currentsince Feb 1, 2016 · Stamford, Ct
- L••••••• A•••• M••••••••• L•• asset managerMar 16, 2015 to Feb 12, 2016 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerDec 20, 2006 to Apr 1, 2015 · New York, Ny
- L••••••• A•••• M••••••••• L•• to R•• C•••••• M••••••• L••left Feb 12, 2016, registered Feb 1, 2016 (-11 days) · Other
- C••••• S••••• S••••••••• •••• L•• to L••••••• A•••• M••••••••• L••left Apr 1, 2015, registered Mar 16, 2015 (-16 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
- National broker-dealer RIAderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address