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••••• R• B•••••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Melville, Ny
- P•••• S••••••••• L•• no RAUMJun 10, 2021 to Nov 14, 2024 · Melville, Ny
- P••• A••••• S••••••••• L•• BD affiliatedMay 15, 2020 to Apr 9, 2021 · Rye Brook, Ny
- I• A••••••• S•••••••• I••• formerNov 22, 2017 to May 15, 2020 · Islandia, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Nov 24, 2017 · Hauppauge, Ny
- M•• F•••••••• S•••••••• I••• formerJul 16, 2014 to Mar 25, 2017 · Hauppauge, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedFeb 28, 2013 to Jul 9, 2014 · Melville, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Feb 28, 2013 · Great Neck, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 12, 2007 to Jun 1, 2009 · Great Neck, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseFeb 24, 2005 to Apr 13, 2007 · Bay Side, Ny
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- P••• A••••• S••••••••• L•• to P•••• S••••••••• L••left Apr 9, 2021, registered Jun 10, 2021 (62 days) · Affiliated broker-dealer or bank to another
- I• A••••••• S•••••••• I••• to P••• A••••• S••••••••• L••left May 15, 2020, registered May 15, 2020 (0 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to I• A••••••• S•••••••• I•••left Nov 24, 2017, registered Nov 22, 2017 (-2 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- C•••••• O•• F•••••••• A••••••• L•• to M•• F•••••••• S•••••••• I•••left Jul 9, 2014, registered Jul 16, 2014 (7 days) · Other
- M••••• S•••••• to C•••••• O•• F•••••••• A••••••• L••left Feb 28, 2013, registered Feb 28, 2013 (0 days) · Other
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• • C•• L••left Apr 13, 2007, registered Apr 12, 2007 (-1 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address