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.
C••••• Y••• Z•••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jan 17, 2024 · Brooklyn, Ny
- E•••• S••••••••• L•• BD affiliatedSep 22, 2021 to Jan 22, 2024 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 23, 2017 to Jul 26, 2021 · Brooklyn, Ny
- S•••••••• S••••••••• BD affiliatedOct 13, 2015 to Nov 16, 2016 · Flushing, Ny
- E•••• S••••••••• L•• to J••• M••••• S••••••••• L••left Jan 22, 2024, registered Jan 17, 2024 (-5 days) · Affiliated broker-dealer or bank to wirehouse
- H••• S••••••••• •••• I••• to E•••• S••••••••• L••left Jul 26, 2021, registered Sep 22, 2021 (58 days) · Affiliated broker-dealer or bank to another
- S•••••••• S••••••••• to H••• S••••••••• •••• I•••left Nov 16, 2016, registered Jun 23, 2017 (219 days) · Other
- C••••• Y••• Z••• left E•••• S••••••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-01-17)Jan 22, 2024 · 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
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address