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.
Y••• M••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jul 23, 2024 · Brooklyn, Ny
- T• P•••••• C••••• W••••• L•• BD affiliatedJun 21, 2023 to Aug 9, 2024 · Brooklyn, Ny
- E•••••••• A•••••••• L•• national BDAug 15, 2017 to Jun 19, 2023 · Woodbridge, Nj
- T• P•••••• C••••• W••••• L•• to J••• M••••• S••••••••• L••left Aug 9, 2024, registered Jul 23, 2024 (-17 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to T• P•••••• C••••• W••••• L••left Jun 19, 2023, registered Jun 21, 2023 (2 days) · Affiliated broker-dealer or bank to another
- Y••• M•••••• left T• P•••••• C••••• W••••• L•• for J••• M••••• S••••••••• L•• (registered 2024-07-23)Aug 9, 2024 · Advisor changed firm · fact
- Y••• M•••••• left E•••••••• A•••••••• L•• for T• P•••••• C••••• W••••• L•• (registered 2023-06-21)Jun 19, 2023 · 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