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.
A•••••• M•••••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Sep 28, 2021 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 10, 2018 to Sep 17, 2021 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseJun 2, 2015 to Aug 21, 2018 · New York, Ny
- B••••••• C•••••• I••• formerMar 13, 2012 to Jun 18, 2015 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 25, 2011 to Mar 9, 2012 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Sep 17, 2021, registered Sep 28, 2021 (11 days) · Wirehouse to wirehouse · moved with a team
- U•• F•••••••• S••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Aug 21, 2018, registered Sep 10, 2018 (20 days) · Wirehouse to wirehouse
- B••••••• C•••••• I••• to U•• F•••••••• S••••••• I•••left Jun 18, 2015, registered Jun 2, 2015 (-16 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to B••••••• C•••••• I•••left Mar 9, 2012, registered Mar 13, 2012 (4 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
- Wirehousederived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address