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••••• J••••• H•••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 3, 2017 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJan 24, 2014 to Oct 10, 2017 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 6, 2014 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 12, 2012 to Oct 1, 2012 · New York, Ny
- W•••• F•••• A••••••• wirehouseJun 8, 2010 to Jul 13, 2012 · Short Hills, Nj
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Oct 10, 2017, registered Oct 3, 2017 (-7 days) · Other · moved with a team
- J••• M••••• S••••••••• L•• to H••• S••••••••• •••• I•••left Jan 6, 2014, registered Jan 24, 2014 (18 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
- W•••• F•••• A••••••• to C•••• I••••••••• S••••••• C••••left Jul 13, 2012, registered Jul 12, 2012 (-1 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address