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.
D•••••• S••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 26, 2021 · Bohemia, Ny
- C•••••• O•• A•••••••• L•• formerApr 13, 2015 to May 3, 2018 · Rocky Point, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 16, 2004 to Apr 15, 2013 · Garden City, Ny
- C•••••• O•• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left May 3, 2018, registered Jul 26, 2021 (1180 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••• O•• A•••••••• L••left Apr 15, 2013, registered Apr 13, 2015 (728 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
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address