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••••• A• N•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Apr 26, 2022 · Fairfield, Ct
- C••••••• S••••••••• I••• BD affiliatedApr 3, 2020 to Jan 26, 2022 · Johnston, Ri
- W•••• F•••• A••••••• wirehouseMay 15, 2018 to May 20, 2020 · Purchase, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 25, 2016 to Apr 5, 2017 · Greenwich, Ct
- C••••••• S••••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 26, 2022, registered Apr 26, 2022 (90 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to C••••••• S••••••••• I•••left May 20, 2020, registered Apr 3, 2020 (-47 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to W•••• F•••• A•••••••left Apr 5, 2017, registered May 15, 2018 (405 days) · Wirehouse to wirehouse · moved with a team
- A••••• A• N••••• left C••••••• S••••••••• I••• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-04-26)Jan 26, 2022 · 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address