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.
C••••••••• L•••• M•••••• D••••
- •••••••• independent RIA currentsince Nov 14, 2023 · Oyster Bay, Ny
- W•••• F•••• A••••••• wirehouseFeb 17, 2023 to Jul 17, 2023 · Bethesda, Md
- W•••• F•••• A••••••• wirehouseJul 11, 2018 to Jun 24, 2022 · Melville, Ny
- S•••••• P••••••• I••••••••• A•••••••• L•• BD affiliatedMay 8, 2018 to Jun 20, 2018 · Stamford, Ct
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to May 14, 2018 · Melville, Ny
- P••••••••• E••••• G••••• L•• unclassifiedOct 18, 2000 to Jul 1, 2003 · Great Neck, Ny
- W•••• F•••• A••••••• to ••••••••left Jul 17, 2023, registered Nov 14, 2023 (120 days) · Wirehouse to independent RIA
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Jun 24, 2022, registered Feb 17, 2023 (238 days) · channel change inside one enterprise, not a move · moved with a team
- S•••••• P••••••• I••••••••• A•••••••• L•• to W•••• F•••• A•••••••left Jun 20, 2018, registered Jul 11, 2018 (21 days) · RIA to wirehouse
- W•••• F•••• A••••••• to S•••••• P••••••• I••••••••• A•••••••• L••left May 14, 2018, registered May 8, 2018 (-6 days) · Wirehouse to independent RIA
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- C••••••••• L•••• M•••••• D•••• left W•••• F•••• A••••••• for &Partners (registered 2023-11-14)Jul 17, 2023 · 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
- Independent wealth managerderived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address