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••••• S•••••• wirehouse currentsince Jun 17, 2016 · New York, Ny
- L•••••••• W••••• A•••••••• L•• formerMay 12, 2014 to Jun 2, 2016 · New York, Ny
- L•••••••• A•••• M••••••••• L•• formerApr 1, 2014 to Jun 26, 2014 · New York, Ny
- M••••• S•••••• wirehouseMar 14, 2011 to Apr 7, 2014 · New York, Ny
- L•••••••• W••••• A•••••••• L•• to M••••• S••••••left Jun 2, 2016, registered Jun 17, 2016 (15 days) · Other · moved with a team
- L•••••••• A•••• M••••••••• L•• to L•••••••• W••••• A•••••••• L••left Jun 26, 2014, registered May 12, 2014 (-45 days) · channel change inside one enterprise, not a move
- M••••• S•••••• to L•••••••• A•••• M••••••••• L••left Apr 7, 2014, registered Apr 1, 2014 (-6 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address