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.
S••••• R••••• B••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Feb 14, 2021 · Commack, Ny
- L•• F•••••••• L•• BD affiliatedJan 18, 2018 to Jul 22, 2019 · Melville, Ny
- C•••••• O•• A•••••••• L•• formerJan 6, 2016 to Jan 26, 2018 · Mclean, Va
- H••• S••••••••• •••• I••• BD affiliatedJan 30, 2012 to Sep 23, 2014 · Garden City, Ny
- L•• F•••••••• L•• BD affiliatedNov 9, 2010 to Jan 19, 2012 · Forest Hills, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 27, 2010 to Oct 12, 2010 · Astoria, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 7, 2006 to Feb 1, 2008 · West Babylon, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 31, 1999 to Aug 2, 2005 · Brooklyn, Ny
- L•• F•••••••• L•• to I••••••••• F•••••••• G••••• L••left Jul 22, 2019, registered Feb 14, 2021 (573 days) · RIA to RIA
- C•••••• O•• A•••••••• L•• to L•• F•••••••• L••left Jan 26, 2018, registered Jan 18, 2018 (-8 days) · Other
- H••• S••••••••• •••• I••• to C•••••• O•• A•••••••• L••left Sep 23, 2014, registered Jan 6, 2016 (470 days) · Other
- L•• F•••••••• L•• to H••• S••••••••• •••• I•••left Jan 19, 2012, registered Jan 30, 2012 (11 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Oct 12, 2010, registered Nov 9, 2010 (28 days) · Other
- H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••left Feb 1, 2008, registered Jul 27, 2010 (907 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Aug 2, 2005, registered Jun 7, 2006 (309 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