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•••• P• S•••
- B• I••••••••• S•••••••• L•• mixed wealth currentsince Feb 12, 2019 · Hagatna
- R•••••• J•••• • A••••••••• I••• national BDJan 3, 2017 to Dec 31, 2017 · Maite
- M••••• S•••••• wirehouseApr 3, 2014 to Nov 30, 2015 · Hagatna
- M•••• C••••••• A••••••• S•••••• BD affiliatedApr 25, 2013 to Feb 25, 2014 · Hagatna
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 7, 2011 · Purchase, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 10, 2008 to Jun 1, 2009 · Hagatna
- R•••••• J•••• • A••••••••• I••• to B• I••••••••• S•••••••• L••left Dec 31, 2017, registered Feb 12, 2019 (408 days) · Affiliated broker-dealer or bank to independent RIA
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Nov 30, 2015, registered Jan 3, 2017 (400 days) · Wirehouse to affiliated broker-dealer or bank
- M•••• C••••••• A••••••• S•••••• to M••••• S••••••left Feb 25, 2014, registered Apr 3, 2014 (37 days) · Other
- M••••• S•••••• to M•••• C••••••• A••••••• S••••••left Sep 7, 2011, registered Apr 25, 2013 (596 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
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
- Wealth manager with institutional or fund businessderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address