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.
L••••• M•••• S•••••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 4, 2022 · Greenwich, Ct
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 3, 2018 to Mar 18, 2022 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseApr 27, 2016 to Apr 3, 2018 · Paramus, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 30, 2013 to Feb 28, 2015 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Mar 13, 2013 · Delray Beach, Fl
- C•••• I••••••••• S••••••• C•••• formerSep 5, 2012 to Oct 1, 2012 · Delray Beach, Fl
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2008 to May 15, 2012 · New York, Ny
- J••• M••••• S••••••••• I••• unclassifiedApr 29, 2008 to Oct 1, 2008 · New York, Ny
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 18, 2022, registered Apr 4, 2022 (17 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Apr 3, 2018, registered May 3, 2018 (30 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Feb 28, 2015, registered Apr 27, 2016 (424 days) · Other
- J••• M••••• S••••••••• L•• to C•••••••• G••••• M•••••• I•••left Mar 13, 2013, registered May 30, 2013 (78 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C•••• I••••••••• S••••••• C••••left May 15, 2012, registered Sep 5, 2012 (113 days) · Other
- J••• M••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 1, 2008, registered Oct 1, 2008 (0 days) · corporate re-registration, not a move
- L••••• M•••• S••••••• left C•••••••• G••••• M•••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-04-04)Mar 18, 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