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.
J•••• M•••• G••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 30, 2011 · New York, Ny
- S•••• • Y•••••••• L•• formerOct 13, 2010 to Nov 2, 2011 · New York, Ny
- R•• C•••••• M••••••• L•• national BDFeb 1, 2008 to Oct 18, 2010 · Stamford, Ct
- S•••• • Y•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Nov 2, 2011, registered Sep 30, 2011 (-33 days) · channel change inside one enterprise, not a move
- R•• C•••••• M••••••• L•• to S•••• • Y•••••••• L••left Oct 18, 2010, registered Oct 13, 2010 (-5 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
- National broker-dealer RIAderived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address