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.
C•••••••• J• C•••••••
- M••••• S•••••• wirehouse currentsince Apr 21, 2023 · Ridgefield, Ct
- J••• M••••• S••••••••• L•• wirehouseAug 4, 2016 to Apr 22, 2023 · New Rochelle, Ny
- H••• S••••••••• •••• I••• BD affiliatedMar 10, 2015 to Jul 19, 2016 · Stamford, Ct
- M••••• S•••••• wirehouseOct 31, 2011 to Feb 23, 2015 · Ridgefield, Ct
- J••• M••••• S••••••••• L•• to M••••• S••••••left Apr 22, 2023, registered Apr 21, 2023 (-1 days) · Wirehouse to wirehouse · moved with a team
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Jul 19, 2016, registered Aug 4, 2016 (16 days) · Other
- M••••• S•••••• to H••• S••••••••• •••• I•••left Feb 23, 2015, registered Mar 10, 2015 (15 days) · Other
- C•••••••• J• C••••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2023-04-21)Apr 22, 2023 · Advisor changed firm · fact
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