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•••• R••••• S••••••••
- H••••••• F•••• asset manager currentsince Mar 20, 2018 · Wayne, Pa
- M•••••• A•••••• A••••••• L•• independent RIADec 26, 2014 to Feb 26, 2018 · Jersey City, Nj
- S•••••••• A••••••• L•• national BDMay 15, 2013 to Nov 18, 2014 · New York, Ny
- M••••• S•••••• wirehouseFeb 23, 2010 to Apr 4, 2013 · New York, Ny
- M•••••• A•••••• A••••••• L•• to H••••••• F••••left Feb 26, 2018, registered Mar 20, 2018 (22 days) · Other
- S•••••••• A••••••• L•• to M•••••• A•••••• A••••••• L••left Nov 18, 2014, registered Dec 26, 2014 (38 days) · Other
- M••••• S•••••• to S•••••••• A••••••• L••left Apr 4, 2013, registered May 15, 2013 (41 days) · Wirehouse to affiliated broker-dealer or bank
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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address