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.
W•••••• M• M••••
- L•• F•••••••• L•• BD affiliated currentsince Jun 28, 2023 · Glen Cove, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 2, 2019 to Jun 16, 2023 · Oyster Bay, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Nov 7, 2018 · Rockville Center, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 26, 2012 to Oct 1, 2012 · Rockvile Center, Ny
- B•• M••••• S••••••••• C••••••••• otherNov 20, 2003 to Feb 29, 2012 · Uniondale, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left Jun 16, 2023, registered Jun 28, 2023 (12 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- J••• M••••• S••••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 7, 2018, registered Jan 2, 2019 (56 days) · Wirehouse to wirehouse · moved with a team
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- B•• M••••• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Feb 29, 2012, registered Mar 26, 2012 (26 days) · Other
- W•••••• M• M•••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• F•••••••• L•• (registered 2023-06-28)Jun 16, 2023 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address