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•••• F•••••
- N•• E••• W••••• BD affiliated currentsince Jan 29, 2022 · Stamford, Ct
- O••••••• independent RIAMar 16, 2021 to Jan 21, 2022 · Park City, Ut
- U•• F•••••••• S••••••• I••• wirehouseFeb 11, 2015 to Mar 16, 2021 · New York, Ny
- M••••• S•••••• wirehouseNov 23, 2010 to Mar 22, 2011 · New York, Ny
- O••••••• to N•• E••• W•••••left Jan 21, 2022, registered Jan 29, 2022 (8 days) · RIA to RIA
- U•• F•••••••• S••••••• I••• to O•••••••left Mar 16, 2021, registered Mar 16, 2021 (0 days) · Wirehouse to independent RIA
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Mar 22, 2011, registered Feb 11, 2015 (1422 days) · Wirehouse to wirehouse
- M•••••• S•••• F••••• left Oneseven for N•• E••• W••••• (registered 2022-01-29)Jan 21, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address