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•••• C• C•••
- A•••• W••••• A•••••••• L•• BD affiliated currentsince Jul 20, 2022 · New York, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedApr 13, 2011 to Jul 21, 2022 · New York City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 25, 2007 to Dec 10, 2010 · New York, Ny
- B• R•••• W••••• A•••••••• I••• to A•••• W••••• A•••••••• L••left Jul 21, 2022, registered Jul 20, 2022 (-1 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 10, 2010, registered Apr 13, 2011 (124 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address