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•••••• M••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jan 22, 2021 · Coral Gables, Fl
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliatedDec 6, 2017 to Jan 15, 2021 · Stamford, Ct
- U•• F•••••••• S••••••• I••• wirehouseMay 25, 2017 to Dec 11, 2017 · New York, Ny
- M••••• S•••••• wirehouseJan 24, 2014 to May 2, 2017 · Purchase, Ny
- S•••••• P••••••• I••••••••• A•••••••• L•• to R•••••• J•••• • A••••••••• I•••left Jan 15, 2021, registered Jan 22, 2021 (7 days) · RIA to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to S•••••• P••••••• I••••••••• A•••••••• L••left Dec 11, 2017, registered Dec 6, 2017 (-5 days) · Other · moved with a team
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left May 2, 2017, registered May 25, 2017 (23 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
- National broker-dealer RIAderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address