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•••••• R••••• B•••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Roslyn, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJun 28, 2019 to Mar 31, 2025 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerJun 17, 2011 to May 8, 2019 · Garden City, Ny
- T• A••••••••• I••• formerJun 17, 2011 to May 8, 2019 · Port Washington, Ny
- N••••••••• S••••••••• L•• no RAUMMay 14, 2009 to Jun 13, 2011 · Scotia, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedMar 19, 2007 to Feb 9, 2009 · Melville, Ny
- C••••••• I••••••••• S••••••• unclassifiedMar 22, 2006 to Mar 19, 2007 · Long Island City, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left May 8, 2019, registered Jun 28, 2019 (51 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 8, 2019, registered Jun 17, 2011 (-2882 days) · channel change inside one enterprise, not a move
- N••••••••• S••••••••• L•• to T• A••••••••• I•••left Jun 13, 2011, registered Jun 17, 2011 (4 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to N••••••••• S••••••••• L••left Feb 9, 2009, registered May 14, 2009 (94 days) · Other
- C••••••• I••••••••• S••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Mar 19, 2007, registered Mar 19, 2007 (0 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
- National broker-dealer RIAderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address