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•••• J• W•••••••••
- S•••••••• A•••••••• L•• BD affiliated currentsince Dec 5, 2022 · New York, Ny
- G••• G••••••• P••••••• S••••••• formerApr 6, 2017 to Dec 31, 2022 · Locust Valley, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 27, 2003 to Apr 4, 2017 · New York, Ny
- G••• G••••••• P••••••• S••••••• to S•••••••• A•••••••• L••left Dec 31, 2022, registered Dec 5, 2022 (-26 days) · RIA to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G••• G••••••• P••••••• S•••••••left Apr 4, 2017, registered Apr 6, 2017 (2 days) · Other · moved with a team
- Karen J Winfrey-Leake left Gary Goldberg Planning Services for Sanctuary Advisors, Llc (registered 2022-12-05)Dec 31, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address