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.
- M••••• S•••••• wirehouse currentsince Dec 8, 2016 · Purchase, Ny
- C••••• S••••• S••••••••• •••• L•• formerJun 9, 2009 to Oct 14, 2016 · New York, Ny
- N•••••••• B••••• B• L•• no RAUMSep 19, 2008 to Feb 17, 2009 · New York, Ny
- L••••• B••••••• I••• unclassifiedSep 20, 2007 to Sep 24, 2008 · New York, Ny
- C••••• S••••• S••••••••• •••• L•• to M••••• S••••••left Oct 14, 2016, registered Dec 8, 2016 (55 days) · Other
- N•••••••• B••••• B• L•• to C••••• S••••• S••••••••• •••• L••left Feb 17, 2009, registered Jun 9, 2009 (112 days) · Other
- L••••• B••••••• I••• to N•••••••• B••••• B• L••left Sep 24, 2008, registered Sep 19, 2008 (-5 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