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•••• D•••• D••••
- L•• F•••••••• L•• BD affiliated currentsince Jul 18, 2019 · Philadelphia, Pa
- S•••••••• S••••••••• BD affiliatedFeb 5, 2015 to Jun 1, 2016 · Melville, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 1, 2013 to Jan 21, 2015 · Brooklyn, Ny
- G•••••• F•••••••• C•••• formerJun 14, 2012 to Jun 13, 2013 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Jun 11, 2012 · New York, Ny
- C••••••• I••••••••• S••••••• unclassifiedNov 28, 2005 to May 29, 2007 · New York, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedJun 16, 2005 to Dec 5, 2005 · Oyster Bay, Ny
- S•••••••• S••••••••• to L•• F•••••••• L••left Jun 1, 2016, registered Jul 18, 2019 (1142 days) · Other
- H••• S••••••••• •••• I••• to S•••••••• S•••••••••left Jan 21, 2015, registered Feb 5, 2015 (15 days) · Other
- G•••••• F•••••••• C•••• to H••• S••••••••• •••• I•••left Jun 13, 2013, registered Jul 1, 2013 (18 days) · Other
- C•••••••• G••••• M•••••• I••• to G•••••• F•••••••• C••••left Jun 11, 2012, registered Jun 14, 2012 (3 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to C••••••• I••••••••• S•••••••left Dec 5, 2005, registered Nov 28, 2005 (-7 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address