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.
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- A•••• C•••••• C•••• BD affiliated currentsince Jan 2, 2025 · Melville, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerMay 8, 2019 to Dec 31, 2020 · Garden City, Ny
- T• A••••••••• I••• formerMay 8, 2019 to Jan 11, 2021 · Garden City, Ny
- C•••••• S••••• • C••• I••• national BDMay 14, 2008 to Dec 26, 2018 · New York City, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerDec 21, 2007 to Apr 30, 2008 · New York, Ny
- T• A••••••••• I••• formerDec 21, 2007 to Apr 30, 2008 · New York, Ny
- T• A••••••••• I••• to A•••• C•••••• C••••left Jan 11, 2021, registered Jan 2, 2025 (1452 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Dec 31, 2020, registered May 8, 2019 (-603 days) · corporate re-registration, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 26, 2018, registered May 8, 2019 (133 days) · Affiliated broker-dealer or bank to independent RIA
- T• A••••••••• I••••••••• M••••••••• L•• to T• A••••••••• I•••left Apr 30, 2008, registered Dec 21, 2007 (-131 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••• to C•••••• S••••• • C••• I•••left Apr 30, 2008, registered May 14, 2008 (14 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address