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.
L••••••• A•••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Oct 26, 2023 · Columbus, Oh
- J••• M••••• S••••••••• L•• wirehouseNov 8, 2021 to Oct 28, 2023 · Columbus, Oh
- N•••••••• B••••• B• L•• no RAUMAug 10, 2016 to Apr 24, 2019 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJul 1, 2015 to Aug 15, 2016 · New York, Ny
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 28, 2023, registered Oct 26, 2023 (-2 days) · Wirehouse to wirehouse
- N•••••••• B••••• B• L•• to J••• M••••• S••••••••• L••left Apr 24, 2019, registered Nov 8, 2021 (929 days) · Other
- J••• M••••• S••••••••• L•• to N•••••••• B••••• B• L••left Aug 15, 2016, registered Aug 10, 2016 (-5 days) · Other
- L••••••• A••••• left J••• M••••• S••••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2023-10-26)Oct 28, 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
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address