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.
B•••••• E• R•••••••• A•••••••
- M••••• S•••••• wirehouse currentsince Jul 30, 2021 · New York, Ny
- L••• S••••• A•••••••• L•• formerOct 12, 2020 to Mar 17, 2021 · Austin, Tx
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 15, 2017 to Oct 30, 2018 · San Diego, Ca
- L••• S••••• A•••••••• L•• to M••••• S••••••left Mar 17, 2021, registered Jul 30, 2021 (135 days) · Affiliated broker-dealer or bank to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L••• S••••• A•••••••• L••left Oct 30, 2018, registered Oct 12, 2020 (713 days) · Wirehouse to affiliated broker-dealer or bank
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