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••• Z••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 8, 2024 · New York, Ny
- J••• M••••• P•••••• W••••• A••••••• L•• formerSep 23, 2022 to Mar 20, 2025 · White Plains, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 18, 2022 to Sep 30, 2022 · Ridgefield, Ct
- J••• M••••• P•••••• W••••• A••••••• L•• to J••• M••••• S••••••••• L••left Mar 20, 2025, registered Mar 8, 2024 (-377 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• P•••••• W••••• A••••••• L••left Sep 30, 2022, registered Sep 23, 2022 (-7 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- O••• Z•••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for J••• M••••• P•••••• W••••• A••••••• L•• (registered 2022-09-23)Sep 30, 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