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.
S•••••• M•••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 28, 2017 · Y•••Town Heights, Ny
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerJan 29, 2015 to Jul 5, 2017 · New Y•••, Ny
- M••••• S•••••• wirehouseSep 14, 2012 to Jan 16, 2015 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Jul 11, 2012 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedDec 11, 2008 to Jun 1, 2009 · New Y•••, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 22, 2008 to Nov 18, 2008 · New Y•••, Ny
- N•• Y••• L••• I••••••••• M••••••••• L•• to J••• M••••• S••••••••• L••left Jul 5, 2017, registered Jun 28, 2017 (-7 days) · Other
- M••••• S•••••• to N•• Y••• L••• I••••••••• M••••••••• L••left Jan 16, 2015, registered Jan 29, 2015 (13 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Nov 18, 2008, registered Dec 11, 2008 (23 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address