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.
A••• R•••• S•••••••••
- M••••• S•••••• wirehouse currentsince Oct 24, 2023 · Purchase, Ny
- N•• E••• W••••• BD affiliatedMar 24, 2022 to Oct 16, 2023 · Stamford, Ct
- U•• F•••••••• S••••••• I••• wirehouseMar 21, 2013 to Mar 31, 2022 · New York, Ny
- M••••• S•••••• wirehouseMay 3, 2011 to Mar 13, 2013 · Menlo Park, Ca
- U•• F•••••••• S••••••• I••• wirehouseMar 20, 2007 to May 3, 2011 · San Francisco, Ca
- N•• E••• W••••• to M••••• S••••••left Oct 16, 2023, registered Oct 24, 2023 (8 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to N•• E••• W•••••left Mar 31, 2022, registered Mar 24, 2022 (-7 days) · Wirehouse to independent RIA
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Mar 13, 2013, registered Mar 21, 2013 (8 days) · Wirehouse to wirehouse
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 3, 2011, registered May 3, 2011 (0 days) · Wirehouse to wirehouse
- A••• R•••• S••••••••• left N•• E••• W••••• for M••••• S•••••• (registered 2023-10-24)Oct 16, 2023 · Advisor changed firm · fact
- A••• R•••• S••••••••• left U•• F•••••••• S••••••• I••• for N•• E••• W••••• (registered 2022-03-24)Mar 31, 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