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.
A••• S•••• A••••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Nov 22, 2023 · New York, Ny
- M••••• S•••••• wirehouseMay 30, 2022 to Nov 24, 2023 · Purchase, Ny
- U•• F•••••••• S••••••• I••• wirehouseDec 17, 2021 to May 23, 2022 · Stamford, Ct
- M••••• S•••••• to R•••••• J•••• • A••••••••• I•••left Nov 24, 2023, registered Nov 22, 2023 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 23, 2022, registered May 30, 2022 (7 days) · Wirehouse to wirehouse · moved with a team
- A••• S•••• A•••••••• left M••••• S•••••• for R•••••• J•••• • A••••••••• I••• (registered 2023-11-22)Nov 24, 2023 · Advisor changed firm · fact
- A••• S•••• A•••••••• left U•• F•••••••• S••••••• I••• for M••••• S•••••• (registered 2022-05-30)May 23, 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address