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.
A••• S••••• F••••
- B••••••••• W••••• A•••••••• L•• no RAUM currentsince Jul 23, 2019 · Staten Island, Ny
- R•••• I••••••••• A••••••• L•• BD affiliatedApr 18, 2017 to Jul 15, 2019 · Staten Island, Ny
- W••••• W•••• A•••••••• I•• independent RIAOct 24, 2016 to May 5, 2017 · Staten Island, Ny
- H••••• I••••••••• M••••••••• L•• independent RIADec 19, 2014 to Oct 25, 2016 · Staten Island, Ny
- R•••• I••••••••• A••••••• L•• to B••••••••• W••••• A•••••••• L••left Jul 15, 2019, registered Jul 23, 2019 (8 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- W••••• W•••• A•••••••• I•• to R•••• I••••••••• A••••••• L••left May 5, 2017, registered Apr 18, 2017 (-17 days) · Other · moved with a team
- H••••• I••••••••• M••••••••• L•• to W••••• W•••• A•••••••• I••left Oct 25, 2016, registered Oct 24, 2016 (-1 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
- No RAUM reportedderived
- Years in industry
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address