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.
H•••• J• P•••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Mar 25, 2017 · New York, Ny
- M•• F•••••••• S•••••••• I••• formerMar 8, 2017 to Mar 25, 2017 · New York City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 15, 2013 to Feb 6, 2017 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 22, 2007 to Mar 29, 2007 · New York, Ny
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M•• F•••••••• S•••••••• I•••left Feb 6, 2017, registered Mar 8, 2017 (30 days) · Other
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 29, 2007, registered Jan 15, 2013 (2119 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address