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.
R••• M• C••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Oct 18, 2023 · New York, Ny
- C••••••• S••••••••• I••• BD affiliatedMay 20, 2022 to Oct 5, 2023 · Forest Hills, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 18, 2018 to May 19, 2022 · Cranbury, Nj
- C••••••• S••••••••• I••• to J••• M••••• S••••••••• L••left Oct 5, 2023, registered Oct 18, 2023 (13 days) · Affiliated broker-dealer or bank to wirehouse
- M•• I•••••••• S•••••••• L•• to C••••••• S••••••••• I•••left May 19, 2022, registered May 20, 2022 (1 days) · Affiliated broker-dealer or bank to another
- R••• M• C•••• left C••••••• S••••••••• I••• for J••• M••••• S••••••••• L•• (registered 2023-10-18)Oct 5, 2023 · Advisor changed firm · fact
- R••• M• C•••• left M•• I•••••••• S•••••••• L•• for C••••••• S••••••••• I••• (registered 2022-05-20)May 19, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address