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.
D••••• J• S••••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Jul 9, 2024 · New York, Ny
- M••••• S•••••• wirehouseOct 5, 2022 to Sep 13, 2023 · New York, Ny
- N•••••••• B••••• B• L•• no RAUMJul 26, 2019 to Sep 27, 2022 · New York, Ny
- M••••• S•••••• to U•• F•••••••• S••••••• I•••left Sep 13, 2023, registered Jul 9, 2024 (300 days) · Wirehouse to wirehouse
- N•••••••• B••••• B• L•• to M••••• S••••••left Sep 27, 2022, registered Oct 5, 2022 (8 days) · Other
- D••••• J• S•••••• left M••••• S•••••• for U•• F•••••••• S••••••• I••• (registered 2024-07-09)Sep 13, 2023 · Advisor changed firm · fact
- D••••• J• S•••••• left N•••••••• B••••• B• L•• for M••••• S•••••• (registered 2022-10-05)Sep 27, 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