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•••••• D• R•••••
- C•••• • S••••• C•••••• M••••••••• I••• asset manager currentsince Jul 29, 2022 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 10, 2014 to Jul 9, 2022 · Jersey City, Nj
- U•• F•••••••• S••••••• I••• wirehouseDec 21, 2012 to Jul 7, 2014 · Weehawken, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• • S••••• C•••••• M••••••••• I•••left Jul 9, 2022, registered Jul 29, 2022 (20 days) · Other
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jul 7, 2014, registered Sep 10, 2014 (65 days) · Wirehouse to wirehouse
- C•••••• D• R••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C•••• • S••••• C•••••• M••••••••• I••• (registered 2022-07-29)Jul 9, 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address