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.
M•••••• C•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 30, 2024 · Jericho, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDAug 12, 2022 to Dec 8, 2023 · Great Neck, Ny
- R•••• R••• A••••••• L•• independent RIAApr 22, 2020 to Aug 9, 2022 · Wilton, Ct
- M••••• S•••••• wirehouseJan 29, 2018 to Apr 16, 2020 · Greenwich, Ct
- R•••• R••• A••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Aug 9, 2022, registered Aug 12, 2022 (3 days) · RIA to affiliated broker-dealer or bank
- M••••• S•••••• to R•••• R••• A••••••• L••left Apr 16, 2020, registered Apr 22, 2020 (6 days) · Wirehouse to independent RIA
- M•••••• C••••••••• left R•••• R••• A••••••• L•• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-08-12)Aug 9, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 12derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address