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.
J•••• B•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Dec 11, 2023 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedFeb 9, 2022 to Nov 17, 2023 · New York, Ny
- U•• F•••••••• S••••••• I••• wirehouseMay 4, 2021 to Feb 11, 2022 · Weehawken, Nj
- O••••••••• • C•• I••• to S•••••• N••••••• • C••••••• I•••••••••left Nov 17, 2023, registered Dec 11, 2023 (24 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to O••••••••• • C•• I•••left Feb 11, 2022, registered Feb 9, 2022 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- J•••• B••••• left O••••••••• • C•• I••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2023-12-11)Nov 17, 2023 · Advisor changed firm · fact
- J•••• B••••• left U•• F•••••••• S••••••• I••• for O••••••••• • C•• I••• (registered 2022-02-09)Feb 11, 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address