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.
W•••••• T••••• S••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 17, 2023 · Hauppauge, Ny
- P••••••• U••••• A•••••••• I••• formerApr 3, 2018 to Dec 31, 2022 · Melville, Ny
- P••••••• S••••••••• I••• formerJun 21, 2017 to Mar 31, 2020 · Hauppauge, Ny
- C•••••• O•• A•••••••• L•• formerJun 6, 2016 to May 1, 2017 · Mclean, Va
- J••• M••••• P•••••• W••••• A••••••• L•• formerFeb 19, 2015 to Sep 2, 2015 · Garden City, Nj
- J••• M••••• S••••••••• L•• wirehouseMar 30, 2011 to May 15, 2012 · Melville, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 5, 2004 to Feb 17, 2011 · Melville, Ny
- E•••• N••••••• S••••••••• I••• formerJun 12, 2003 to Jan 5, 2004 · Lakesuccess, Ny
- P••••••• U••••• A•••••••• I••• to L•• F•••••••• L••left Dec 31, 2022, registered Mar 17, 2023 (76 days) · RIA to affiliated broker-dealer or bank
- P••••••• S••••••••• I••• to P••••••• U••••• A•••••••• I•••left Mar 31, 2020, registered Apr 3, 2018 (-728 days) · corporate re-registration, not a move
- C•••••• O•• A•••••••• L•• to P••••••• S••••••••• I•••left May 1, 2017, registered Jun 21, 2017 (51 days) · Other
- J••• M••••• P•••••• W••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Sep 2, 2015, registered Jun 6, 2016 (278 days) · Other
- J••• M••••• S••••••••• L•• to J••• M••••• P•••••• W••••• A••••••• L••left May 15, 2012, registered Feb 19, 2015 (1010 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to J••• M••••• S••••••••• L••left Feb 17, 2011, registered Mar 30, 2011 (41 days) · Other
- E•••• N••••••• S••••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Jan 5, 2004, registered Jan 5, 2004 (0 days) · Other
- W•••••• T••••• S•••••• left P••••••• U••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-03-17)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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address