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••••• A•••••• P•••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 2, 2022 · Coral Gables, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 22, 2017 to May 2, 2022 · New York, Ny
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Aug 23, 2017 · Newark, Nj
- L•• F•••••••• L•• BD affiliatedOct 7, 2011 to Sep 19, 2012 · Newark, Nj
- C•••• I••••••••• S••••••• C•••• formerJan 24, 2008 to Oct 3, 2011 · New York, Ny
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left May 2, 2022, registered May 2, 2022 (0 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••left Aug 23, 2017, registered Aug 22, 2017 (-1 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Oct 3, 2011, registered Oct 7, 2011 (4 days) · Other
- D••••• A•••••• P••••••••• left C•••••••• G••••• M•••••• I••• for W•••• F•••• A••••••• (registered 2022-05-02)May 2, 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
- Wirehousederived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address