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•••••• M• N•••• J•••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 22, 2024 · Tampa, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 30, 2021 to Apr 30, 2024 · Greenwich, Ct
- S•••••••• S••••••••• BD affiliatedMay 28, 2019 to Jul 21, 2021 · Woonsocket, Ri
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 30, 2024, registered Apr 22, 2024 (-8 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••left Jul 21, 2021, registered Jul 30, 2021 (9 days) · Affiliated broker-dealer or bank to another
- J•••••• M• N•••• J••••• left C•••••••• G••••• M•••••• I••• for W•••• F•••• A••••••• (registered 2024-04-22)Apr 30, 2024 · 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