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.
B•••• M•••••• N•••••• T••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 24, 2023 · Melville, Ny
- J••• M••••• P•••••• W••••• A••••••• L•• formerApr 6, 2021 to Sep 28, 2023 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedApr 17, 2017 to Apr 1, 2021 · Port Jefferson, Ny
- J••• M••••• P•••••• W••••• A••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Sep 28, 2023, registered Oct 24, 2023 (26 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to J••• M••••• P•••••• W••••• A••••••• L••left Apr 1, 2021, registered Apr 6, 2021 (5 days) · Affiliated broker-dealer or bank to another · moved with a team
- B•••• M•••••• N•••••• T•••• left J••• M••••• P•••••• W••••• A••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-10-24)Sep 28, 2023 · 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