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.
D•••• G•••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 1, 2024 · Weehawken, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 6, 2022 to May 7, 2024 · New York, Ny
- M••••• S•••••• wirehouseAug 21, 2020 to Sep 12, 2022 · Aventura, Fl
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left May 7, 2024, registered Jul 1, 2024 (55 days) · Affiliated broker-dealer or bank to wirehouse
- M••••• S•••••• to C•••••••• G••••• M•••••• I•••left Sep 12, 2022, registered Oct 6, 2022 (24 days) · Wirehouse to affiliated broker-dealer or bank
- D•••• G••••• left C•••••••• G••••• M•••••• I••• for U•• F•••••••• S••••••• I••• (registered 2024-07-01)May 7, 2024 · Advisor changed firm · fact
- D•••• G••••• left M••••• S•••••• for C•••••••• G••••• M•••••• I••• (registered 2022-10-06)Sep 12, 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address