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.
F••••••• R••• B••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 15, 2015 · Garden City, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedApr 5, 2006 to May 18, 2015 · Garden City, Ny
- P••••••••• E••••• G••••• L•• unclassifiedNov 12, 1987 to Jun 2, 2003 · Massapequa Park, Ny
- J••••• M••••••••• S•••• L•• to S•••••• N••••••• • C••••••• I•••••••••left May 18, 2015, registered May 15, 2015 (-3 days) · Other
- P••••••••• E••••• G••••• L•• to J••••• M••••••••• S•••• L••left Jun 2, 2003, registered Apr 5, 2006 (1038 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address