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••• T•••• M•••••••
- C•••••• S••••• • C••• I••• national BD currentsince Aug 24, 2015 · Reston, Va
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 4, 2015 to Jul 22, 2015 · Middletown, Ny
- M••••• L•• independent RIAJan 5, 2015 to Feb 12, 2015 · Jersey City, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• S••••• • C••• I•••left Jul 22, 2015, registered Aug 24, 2015 (33 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Feb 12, 2015, registered Mar 4, 2015 (20 days) · Other
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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address