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.
- M••••• S•••••• wirehouse currentsince Oct 11, 2022 · Garden City, Ny
- J••• M••••• S••••••••• L•• wirehouseMay 30, 2018 to Sep 13, 2022 · Little Neck, Ny
- E•••••••• A•••••••• L•• national BDApr 17, 2017 to May 9, 2018 · Astoria, Ny
- J••• M••••• S••••••••• L•• to M••••• S••••••left Sep 13, 2022, registered Oct 11, 2022 (28 days) · Wirehouse to wirehouse · moved with a team
- E•••••••• A•••••••• L•• to J••• M••••• S••••••••• L••left May 9, 2018, registered May 30, 2018 (21 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- A••••• S••••• left J••• M••••• S••••••••• L•• for M••••• S•••••• (registered 2022-10-11)Sep 13, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address