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.
E••• L•••• J•••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Jun 17, 2019 · Garden City, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedJun 7, 2006 to Jun 24, 2019 · Garden City, Ny
- P••••••••• E••••• G••••• L•• unclassifiedOct 8, 1991 to Jan 10, 2003 · Massapequa, Ny
- J••••• M••••••••• S•••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Jun 24, 2019, registered Jun 17, 2019 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- P••••••••• E••••• G••••• L•• to J••••• M••••••••• S•••• L••left Jan 10, 2003, registered Jun 7, 2006 (1244 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