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•••••• A• H•••••••••
- N••••• I••••••••• M••••••••• B••••••• T•••• asset manager currentsince Apr 20, 2020 · New York, Ny
- D••••••• C•••••• M••••••••• A•••••••• I•• formerOct 14, 2015 to Apr 20, 2020 · Philadelphia, Pa
- J••• M••••• S••••••••• L•• wirehouseAug 19, 2013 to Oct 1, 2015 · New York, Ny
- M••••• S•••••• wirehouseJan 25, 2011 to Jul 31, 2013 · Warren, Nj
- D••••••• C•••••• M••••••••• A•••••••• I•• to N••••• I••••••••• M••••••••• B••••••• T••••left Apr 20, 2020, registered Apr 20, 2020 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to D••••••• C•••••• M••••••••• A•••••••• I••left Oct 1, 2015, registered Oct 14, 2015 (13 days) · Other
- M••••• S•••••• to J••• M••••• S••••••••• L••left Jul 31, 2013, registered Aug 19, 2013 (19 days) · Wirehouse to wirehouse
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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address