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.
J••••• M• B•••••
- C••••••• P•••••• W••••• BD affiliated currentsince Mar 23, 2022 · Tarrytown, Ny
- C••••••• S••••••••• I••• BD affiliated currentsince Mar 9, 2022 · Syracuse, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 8, 2020 to Mar 7, 2022 · Pittsburgh, Pa
- W•••• F•••• A••••••• wirehouseOct 5, 2016 to May 11, 2020 · Pittsburgh, Pa
- K•• I••••••••• S••••••• L•• BD affiliatedSep 21, 2016 to Sep 30, 2016 · Pittsburgh, Pa
- L•• F•••••••• L•• BD affiliatedAug 23, 2016 to Sep 21, 2016 · Pittsburgh, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 22, 2013 to Aug 2, 2016 · Pittsburgh, Pa
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left Mar 7, 2022, registered Mar 9, 2022 (2 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 11, 2020, registered May 8, 2020 (-3 days) · Wirehouse to wirehouse
- K•• I••••••••• S••••••• L•• to W•••• F•••• A•••••••left Sep 30, 2016, registered Oct 5, 2016 (5 days) · Other
- L•• F•••••••• L•• to K•• I••••••••• S••••••• L••left Sep 21, 2016, registered Sep 21, 2016 (0 days) · Other · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Aug 2, 2016, registered Aug 23, 2016 (21 days) · Other
- J••••• M• B••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••••• S••••••••• I••• (registered 2022-03-09)Mar 7, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address