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.
K•••••• C•••
- N••••••••• M••••• I••••••••• S••••••••• no RAUM currentsince Sep 17, 2021 · New York, Ny
- T• A••••••••• I••• formerJul 28, 2020 to Jul 14, 2021 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerJul 27, 2020 to Jul 14, 2021 · New York, Ny
- S•••••••• S••••••••• BD affiliatedMar 13, 2019 to Jul 7, 2020 · Brooklyn, Ny
- U•••• A••••••• L•• otherAug 1, 2018 to Jan 22, 2019 · New York, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJun 7, 2016 to May 1, 2018 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 5, 2015 to May 4, 2016 · Forest Hills, Ny
- T• A••••••••• I••• formerJul 31, 2015 to May 4, 2016 · Forest Hills, Ny
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Jul 14, 2021, registered Jul 28, 2020 (-351 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to N••••••••• M••••• I••••••••• S•••••••••left Jul 14, 2021, registered Sep 17, 2021 (65 days) · Other
- S•••••••• S••••••••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 7, 2020, registered Jul 27, 2020 (20 days) · Affiliated broker-dealer or bank to independent RIA
- U•••• A••••••• L•• to S•••••••• S•••••••••left Jan 22, 2019, registered Mar 13, 2019 (50 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to U•••• A••••••• L••left May 1, 2018, registered Aug 1, 2018 (92 days) · Other · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 4, 2016, registered Aug 5, 2015 (-273 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left May 4, 2016, registered Jun 7, 2016 (34 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
- No RAUM reportedderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address