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.
R••••• T•••••
- F•••• T•••• S••••••••• I••• BD affiliated currentsince Jun 4, 2021 · Bonita Springs, Fl
- C••• B•••••••• S•••••••• I••• formerJul 23, 2013 to Jun 8, 2021 · Westbury, Ny
- W•••• F•••• A••••••• wirehouseJun 10, 2010 to Jul 15, 2013 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 14, 2007 to May 28, 2010 · New York, Ny
- C••• B•••••••• S•••••••• I••• to F•••• T•••• S••••••••• I•••left Jun 8, 2021, registered Jun 4, 2021 (-4 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to C••• B•••••••• S•••••••• I•••left Jul 15, 2013, registered Jul 23, 2013 (8 days) · Other
- H••• S••••••••• •••• I••• to W•••• F•••• A•••••••left May 28, 2010, registered Jun 10, 2010 (13 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