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.
C••••••••• A•••••• A•••••
- M•••••• I••••••••• A•••••••• L•• mixed wealth currentsince Apr 3, 2019 · M••••••, Wi
- J••• M••••• S••••••••• L•• wirehouseAug 11, 2008 to Mar 5, 2015 · New York, Ny
- J••• M••••• S••••••••• L•• to M•••••• I••••••••• A•••••••• L••left Mar 5, 2015, registered Apr 3, 2019 (1490 days) · Wirehouse to independent RIA
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