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••••• S•••••• wirehouse currentsince Aug 7, 2020 · New York, Ny
- G••••• G••••• H••• • C•• L•• independent RIAOct 24, 2017 to Nov 21, 2019 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseNov 6, 2013 to Oct 6, 2017 · New York, Ny
- G••••• G••••• H••• • C•• L•• to M••••• S••••••left Nov 21, 2019, registered Aug 7, 2020 (260 days) · RIA to wirehouse
- U•• F•••••••• S••••••• I••• to G••••• G••••• H••• • C•• L••left Oct 6, 2017, registered Oct 24, 2017 (18 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
- Wirehousederived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address