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.
K••• C••••••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Mar 5, 2024 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedFeb 2, 2023 to Feb 9, 2024 · New York, Ny
- E•••••••• A•••••••• L•• national BDAug 5, 2022 to Jan 25, 2023 · New York, Ny
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Feb 9, 2024, registered Mar 5, 2024 (25 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to H••• S••••••••• •••• I•••left Jan 25, 2023, registered Feb 2, 2023 (8 days) · Affiliated broker-dealer or bank to another
- K••• C•••••••• left H••• S••••••••• •••• I••• for J••• M••••• S••••••••• L•• (registered 2024-03-05)Feb 9, 2024 · Advisor changed firm · fact
- K••• C•••••••• left E•••••••• A•••••••• L•• for H••• S••••••••• •••• I••• (registered 2023-02-02)Jan 25, 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