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.
M••••• J•••• S•••••••
- J•••••••• I••••••••• A••••••• L•• mixed wealth currentsince May 24, 2023 · New York, Ny
- L••••••• A•••• M••••••••• L•• asset managerJul 7, 2021 to Aug 14, 2023 · New York, Ny
- M••••• S•••••• wirehouseJul 24, 2014 to Jun 23, 2021 · Mount Kisco, Ny
- W•••• F•••• A••••••• wirehouseJul 23, 2008 to Jul 15, 2014 · White Plains, Ny
- L••••••• A•••• M••••••••• L•• to J•••••••• I••••••••• A••••••• L••left Aug 14, 2023, registered May 24, 2023 (-82 days) · corporate re-registration, not a move
- M••••• S•••••• to L••••••• A•••• M••••••••• L••left Jun 23, 2021, registered Jul 7, 2021 (14 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to M••••• S••••••left Jul 15, 2014, registered Jul 24, 2014 (9 days) · Wirehouse to wirehouse
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