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.
- W•••• F•••• A••••••• wirehouse currentsince Jun 12, 2023 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 27, 2020 to Mar 21, 2023 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 20, 2014 to Mar 9, 2020 · New York, Ny
- E•••••• C•••••• M••••••••• L•• formerJul 9, 2013 to May 19, 2014 · Arlington, Va
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jun 12, 2013 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerApr 7, 2011 to Oct 1, 2012 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Mar 21, 2023, registered Jun 12, 2023 (83 days) · Wirehouse to wirehouse · moved with a team
- C•••••••• G••••• M•••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Mar 9, 2020, registered Feb 27, 2020 (-11 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••• C•••••• M••••••••• L•• to C•••••••• G••••• M•••••• I•••left May 19, 2014, registered Jun 20, 2014 (32 days) · Other
- J••• M••••• S••••••••• L•• to E•••••• C•••••• M••••••••• L••left Jun 12, 2013, registered Jul 9, 2013 (27 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- A••••• P••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for W•••• F•••• A••••••• (registered 2023-06-12)Mar 21, 2023 · 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
- Wirehousederived
- Years in industry
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address