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.
M•••••• L••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 17, 2021 · Greenwich, Ct
- M••••• W••••• M••••••••• I••• independent RIASep 26, 2012 to Nov 5, 2016 · Ridgewood, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 9, 2010 to Sep 12, 2012 · New York, Ny
- M••••• W••••• M••••••••• I••• to C•••••••• G••••• M•••••• I•••left Nov 5, 2016, registered Aug 17, 2021 (1746 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• W••••• M••••••••• I•••left Sep 12, 2012, registered Sep 26, 2012 (14 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address