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.
J••••••••• C••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 26, 2021 · New York, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedApr 10, 2018 to Nov 13, 2020 · New York, Ny
- S•••••• A••••••••• L••• independent RIAMar 14, 2018 to Mar 22, 2018 · Beverly Hills, Ca
- A••••• A•• P••••••• S••••••• to J••• M••••• S••••••••• L••left Nov 13, 2020, registered Oct 26, 2021 (347 days) · Affiliated broker-dealer or bank to wirehouse
- S•••••• A••••••••• L••• to A••••• A•• P••••••• S•••••••left Mar 22, 2018, registered Apr 10, 2018 (19 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
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address