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.
J•••• A••••• B•••
- M•• C•••••• M••••••••• L•• independent RIA currentsince Dec 23, 2021 · New York, Ny
- R•••• W••••• M••••••••• L•• formerMar 11, 2020 to Dec 21, 2021 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseDec 9, 2016 to Nov 19, 2019 · New York, Ny
- R•••• W••••• M••••••••• L•• to M•• C•••••• M••••••••• L••left Dec 21, 2021, registered Dec 23, 2021 (2 days) · RIA to RIA · moved with a team
- U•• F•••••••• S••••••• I••• to R•••• W••••• M••••••••• L••left Nov 19, 2019, registered Mar 11, 2020 (113 days) · Wirehouse to independent RIA
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
- Independent wealth managerderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address