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••• W•••••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Pearl River, Ny
- A••••••• P••••••••• A•••••••• I•• formerSep 17, 2020 to Oct 11, 2024 · Holbrook, Ny
- H••• S••••••••• •••• I••• BD affiliatedSep 17, 2015 to Jun 5, 2020 · Yonkers, Ny
- P•••••• A•••••• G••••• L•• BD affiliatedMar 18, 2013 to Dec 31, 2014 · Pearl River, Nj
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 4, 2013 · Mount Vernon, Ny
- C•••• I••••••••• S••••••• C•••• formerNov 8, 2006 to Oct 1, 2012 · Bronxville, Ny
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to A••••••• P••••••••• A•••••••• I••left Jun 5, 2020, registered Sep 17, 2020 (104 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••• A•••••• G••••• L•• to H••• S••••••••• •••• I•••left Dec 31, 2014, registered Sep 17, 2015 (260 days) · Other
- J••• M••••• S••••••••• L•• to P•••••• A•••••• G••••• L••left Jan 4, 2013, registered Mar 18, 2013 (73 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address