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.
P••••••• E•••••••• W••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 3, 2021 · Woodbury, Ny
- F••••••• S••••••••• I••• independent RIAApr 9, 2013 to Apr 4, 2016 · Levittown, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedDec 10, 2010 to Mar 13, 2013 · Melville, Ny
- F••••••• S••••••••• I••• to L•• F•••••••• L••left Apr 4, 2016, registered Aug 3, 2021 (1947 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to F••••••• S••••••••• I•••left Mar 13, 2013, registered Apr 9, 2013 (27 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address