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.
F•••• A••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Dec 15, 2022 · New York, Ny
- B•••• T•••• W••••• M••••••••• L•• mixed wealthJan 18, 2021 to Dec 16, 2022 · New York, Ny
- M••••• S•••••• wirehouseNov 21, 2018 to Jan 19, 2021 · New York, Ny
- B•••• T•••• W••••• M••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 16, 2022, registered Dec 15, 2022 (-1 days) · RIA to wirehouse
- M••••• S•••••• to B•••• T•••• W••••• M••••••••• L••left Jan 19, 2021, registered Jan 18, 2021 (-1 days) · Wirehouse to independent RIA
- Faiez Ahmed left Baker Tilly Wealth Management, Llc for Merrill Lynch, Pierce, Fenner & Smith Incorporated (registered 2022-12-15)Dec 16, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address