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.
T••• D• F••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Oct 15, 2024 · Hauppauge, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerMar 13, 2020 to May 27, 2021 · Jersey City, Nj
- T• A••••••••• I••• formerMar 11, 2020 to May 27, 2021 · Jersey City, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 20, 2011 to Mar 9, 2020 · New York, Ny
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left May 27, 2021, registered Oct 15, 2024 (1237 days) · RIA to affiliated broker-dealer or bank
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 27, 2021, registered Mar 13, 2020 (-440 days) · channel change inside one enterprise, not a move
- C•••••••• G••••• M•••••• I••• to T• A••••••••• I•••left Mar 9, 2020, registered Mar 11, 2020 (2 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address