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.
F•••• R•••••• P•••••••
- O•••• I••••••••• I••• BD affiliated currentsince Jul 31, 2023 · Bronx, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedJun 14, 2021 to Jun 27, 2023 · Greenwich, Ct
- H••• S••••••••• •••• I••• BD affiliatedMay 30, 2013 to Jun 28, 2021 · Mamaroneck, Ny
- P••••••• S••••••••• I••• formerJan 9, 2012 to May 13, 2013 · Bridgeport, Ct
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Jan 3, 2012 · Paramus, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 10, 2007 to Oct 23, 2009 · Glen Rock, Nj
- C•••••••• G••••• M•••••• I••• to O•••• I••••••••• I•••left Jun 27, 2023, registered Jul 31, 2023 (34 days) · Affiliated broker-dealer or bank to another
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Jun 28, 2021, registered Jun 14, 2021 (-14 days) · Affiliated broker-dealer or bank to another
- P••••••• S••••••••• I••• to H••• S••••••••• •••• I•••left May 13, 2013, registered May 30, 2013 (17 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to P••••••• S••••••••• I•••left Jan 3, 2012, registered Jan 9, 2012 (6 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- F•••• R•••••• P••••••• left C•••••••• G••••• M•••••• I••• for O•••• I••••••••• I••• (registered 2023-07-31)Jun 27, 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address