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.
P•••• L•••••
- O•••• I••••••••• I••• BD affiliated currentsince Sep 22, 2022 · Staten Island, Ny
- J••• M••••• S••••••••• L•• wirehouseJan 24, 2020 to Sep 18, 2022 · Brooklyn, Ny
- H••• S••••••••• •••• I••• BD affiliatedNov 14, 2016 to Nov 4, 2019 · Levittown, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 6, 2015 to Oct 4, 2016 · Forest Hills, Ny
- T• A••••••••• I••• formerMar 2, 2015 to Oct 4, 2016 · Forest Hills, Ny
- H••• S••••••••• •••• I••• BD affiliatedSep 11, 2012 to Feb 3, 2015 · Bronx, Ny
- J••• M••••• S••••••••• L•• to O•••• I••••••••• I•••left Sep 18, 2022, registered Sep 22, 2022 (4 days) · Wirehouse to affiliated broker-dealer or bank
- H••• S••••••••• •••• I••• to J••• M••••• S••••••••• L••left Nov 4, 2019, registered Jan 24, 2020 (81 days) · Affiliated broker-dealer or bank to wirehouse · moved with a team
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Oct 4, 2016, registered Mar 6, 2015 (-578 days) · channel change inside one enterprise, not a move · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to H••• S••••••••• •••• I•••left Oct 4, 2016, registered Nov 14, 2016 (41 days) · Other
- H••• S••••••••• •••• I••• to T• A••••••••• I•••left Feb 3, 2015, registered Mar 2, 2015 (27 days) · Other
- P•••• L••••• left J••• M••••• S••••••••• L•• for O•••• I••••••••• I••• (registered 2022-09-22)Sep 18, 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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address