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.
C•••••• A• B••••
- J••• M••••• S••••••••• L•• wirehouse currentsince Jun 21, 2024 · Boston, Ma
- M•••• • C••••• I•• BD affiliatedJan 23, 2023 to Jun 7, 2024 · Boston, Ma
- E•••••••• A•••••••• L•• national BDDec 7, 2021 to Jan 20, 2023 · New York, Ny
- M•••• • C••••• I•• to J••• M••••• S••••••••• L••left Jun 7, 2024, registered Jun 21, 2024 (14 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to M•••• • C••••• I••left Jan 20, 2023, registered Jan 23, 2023 (3 days) · Affiliated broker-dealer or bank to another
- C•••••• A• B•••• left M•••• • C••••• I•• for J••• M••••• S••••••••• L•• (registered 2024-06-21)Jun 7, 2024 · Advisor changed firm · fact
- C•••••• A• B•••• left E•••••••• A•••••••• L•• for M•••• • C••••• I•• (registered 2023-01-23)Jan 20, 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address