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.
L•••• L••
- J••• M••••• S••••••••• L•• wirehouse currentsince Sep 14, 2021 · Brooklyn, Ny
- H••• S••••••••• •••• I••• BD affiliatedMay 23, 2019 to Sep 10, 2021 · New York, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedSep 26, 2017 to Apr 15, 2019 · New York, Ny
- L•• F•••••••• L•• BD affiliatedFeb 28, 2017 to Sep 25, 2017 · New York, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 5, 2017 to Feb 28, 2017 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedDec 9, 2010 to Feb 3, 2017 · New York, Ny
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Sep 10, 2021, registered Sep 14, 2021 (4 days) · Affiliated broker-dealer or bank to wirehouse
- C••••• I••••••••• A••••••• L•• to H••• S••••••••• •••• I•••left Apr 15, 2019, registered May 23, 2019 (38 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Sep 25, 2017, registered Sep 26, 2017 (1 days) · Other
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left Feb 28, 2017, registered Feb 28, 2017 (0 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to C••••• I••••••••• A••••••• L••left Feb 3, 2017, registered Jan 5, 2017 (-29 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address