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•••••• E• G•••••
- R••••••••• C•••••• M••••••••• BD affiliated currentsince Aug 19, 2021 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• national BDOct 27, 2014 to Jul 6, 2020 · New York, Ny
- M••••• S•••••• wirehouseOct 29, 2013 to Nov 12, 2014 · Great Neck, Ny
- S•••••• N••••••• • C••••••• I••••••••• to R••••••••• C•••••• M•••••••••left Jul 6, 2020, registered Aug 19, 2021 (409 days) · Affiliated broker-dealer or bank to another
- M••••• S•••••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 12, 2014, registered Oct 27, 2014 (-16 days) · Wirehouse to affiliated broker-dealer or bank
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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address