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 May 16, 2022 · Morristown, Nj
- A•••• W••••• A•••••••• L•• BD affiliatedMar 10, 2022 to Apr 4, 2022 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 5, 2012 to Jul 5, 2017 · Pennington, Nj
- A•••• W••••• A•••••••• L•• to M••••• S••••••left Apr 4, 2022, registered May 16, 2022 (42 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A•••• W••••• A•••••••• L••left Jul 5, 2017, registered Mar 10, 2022 (1709 days) · Wirehouse to affiliated broker-dealer or bank
- G•••••• H• H••••• left A•••• W••••• A•••••••• L•• for M••••• S•••••• (registered 2022-05-16)Apr 4, 2022 · 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