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.
J••• B•••••• P•••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 20, 2017 · White Plains, Ny
- C••••••• M••••••••• I••••••••• A•••••••• L•• asset managerJun 6, 2014 to Feb 13, 2017 · White Plains, Ny
- N•• Y••• L••• I••••••••• M••••••••• L•• asset managerApr 25, 2008 to Jun 2, 2014 · New Y•••, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 20, 2007 to Apr 11, 2008 · New Y•••, Ny
- C••••••• M••••••••• I••••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left Feb 13, 2017, registered Mar 20, 2017 (35 days) · Other
- N•• Y••• L••• I••••••••• M••••••••• L•• to C••••••• M••••••••• I••••••••• A•••••••• L••left Jun 2, 2014, registered Jun 6, 2014 (4 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to N•• Y••• L••• I••••••••• M••••••••• L••left Apr 11, 2008, registered Apr 25, 2008 (14 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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address