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.
- M••••• S•••••• wirehouse currentsince May 21, 2024 · New York, Ny
- S•••••• N••••••• • C••••••• I••••••••• national BDApr 21, 2022 to May 24, 2024 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseOct 18, 2021 to Apr 25, 2022 · Weehawken, Nj
- S•••••• N••••••• • C••••••• I••••••••• to M••••• S••••••left May 24, 2024, registered May 21, 2024 (-3 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to S•••••• N••••••• • C••••••• I•••••••••left Apr 25, 2022, registered Apr 21, 2022 (-4 days) · Wirehouse to affiliated broker-dealer or bank
- V•••••• M•••• S•••• left S•••••• N••••••• • C••••••• I••••••••• for M••••• S•••••• (registered 2024-05-21)May 24, 2024 · Advisor changed firm · fact
- V•••••• M•••• S•••• left U•• F•••••••• S••••••• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2022-04-21)Apr 25, 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