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.
T••••• M•••• A••••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jul 20, 2020 · Flushing, Ny
- H••• S••••••••• •••• I••• BD affiliatedMar 19, 2015 to Jun 5, 2020 · Scarsdale, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedDec 23, 2013 to Mar 12, 2015 · Greenwich, Ct
- H••• S••••••••• •••• I••• BD affiliatedMay 3, 2007 to Nov 25, 2013 · White Plains, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Apr 24, 2007 · Merrick, Ny
- Q•••• • R•••••• I••• unclassifiedMar 2, 2004 to Oct 20, 2004 · Garden City, Ny
- C•••• I••••••••• S••••••• C•••• formerNov 4, 2002 to Sep 9, 2003 · New York, Ny
- H••• S••••••••• •••• I••• to P••• A••••• S••••••••• L••left Jun 5, 2020, registered Jul 20, 2020 (45 days) · Affiliated broker-dealer or bank to another
- C•••••••• G••••• M•••••• I••• to H••• S••••••••• •••• I•••left Mar 12, 2015, registered Mar 19, 2015 (7 days) · Other
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Nov 25, 2013, registered Dec 23, 2013 (28 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Apr 24, 2007, registered May 3, 2007 (9 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to Q•••• • R•••••• I•••left Sep 9, 2003, registered Mar 2, 2004 (175 days) · Other
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address