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.
D•••••• G• S•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 11, 2016 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• formerJul 28, 2011 to Feb 9, 2016 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Jun 9, 2011 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedSep 18, 2008 to Jun 1, 2009 · New York, Ny
- L••••• B••••••• I••• unclassifiedFeb 12, 2008 to Sep 24, 2008 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• to J••• M••••• S••••••••• L••left Feb 9, 2016, registered Jan 11, 2016 (-29 days) · Other · moved with a team
- M••••• S•••••• to C••••• S••••• S••••••••• •••• L••left Jun 9, 2011, registered Jul 28, 2011 (49 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- L••••• B••••••• I••• to M••••• S•••••• • C•• L••left Sep 24, 2008, registered Sep 18, 2008 (-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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address