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.
- L•• F•••••••• L•• BD affiliated currentsince May 9, 2022 · Jericho, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedFeb 4, 2021 to May 2, 2022 · Merrick, Ny
- C••••• A•••••• N••••••• L•• formerFeb 1, 2018 to Jan 27, 2021 · New York, Ny
- F••••••• S••••••••• I••• independent RIAJul 17, 2014 to Dec 4, 2017 · New York, Ny
- L•• F•••••••• L•• BD affiliatedJun 25, 2013 to Jul 16, 2014 · Stamford, Ct
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedSep 9, 2009 to Jun 25, 2013 · Melville, Ny
- C••••• I••••••••• A••••••• L•• to L•• F•••••••• L••left May 2, 2022, registered May 9, 2022 (7 days) · Affiliated broker-dealer or bank to independent RIA
- C••••• A•••••• N••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 27, 2021, registered Feb 4, 2021 (8 days) · Affiliated broker-dealer or bank to another
- F••••••• S••••••••• I••• to C••••• A•••••• N••••••• L••left Dec 4, 2017, registered Feb 1, 2018 (59 days) · Other
- L•• F•••••••• L•• to F••••••• S••••••••• I•••left Jul 16, 2014, registered Jul 17, 2014 (1 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to L•• F•••••••• L••left Jun 25, 2013, registered Jun 25, 2013 (0 days) · Other
- T••••• A••• left C••••• I••••••••• A••••••• L•• for L•• F•••••••• L•• (registered 2022-05-09)May 2, 2022 · a•••••• firm change · 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address