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.
O••••• E•••••••• K•••••
- M••••• S•••••• wirehouse currentsince Jan 25, 2023 · New York, Ny
- W•••• F•••• A••••••• wirehouseOct 26, 2018 to Feb 1, 2023 · New York, Ny
- M•••• • C••••• I•• BD affiliatedApr 16, 2018 to Sep 25, 2018 · Boston, Ma
- W•••• F•••• A••••••• to M••••• S••••••left Feb 1, 2023, registered Jan 25, 2023 (-7 days) · Wirehouse to wirehouse · moved with a team
- M•••• • C••••• I•• to W•••• F•••• A•••••••left Sep 25, 2018, registered Oct 26, 2018 (31 days) · Affiliated broker-dealer or bank to wirehouse
- O••••• E•••••••• K••••• left W•••• F•••• A••••••• for M••••• S•••••• (registered 2023-01-25)Feb 1, 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
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address