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••••• D•••• D••••••••
- L•• F•••••••• L•• BD affiliated currentsince Sep 27, 2023 · Melville, Ny
- A••••••• P••••••••• A•••••••• I•• formerJun 25, 2020 to Oct 13, 2023 · Holbrook, Ny
- O•• P•••••• I••••••••• I•• formerDec 7, 2001 to Dec 19, 2005 · New York, Ny
- A••••••• P••••••••• A•••••••• I•• to L•• F•••••••• L••left Oct 13, 2023, registered Sep 27, 2023 (-16 days) · Affiliated broker-dealer or bank to another · moved with a team
- O•• P•••••• I••••••••• I•• to A••••••• P••••••••• A•••••••• I••left Dec 19, 2005, registered Jun 25, 2020 (5302 days) · Other
- S••••• D•••• D•••••••• left A••••••• P••••••••• A•••••••• I•• for L•• F•••••••• L•• (registered 2023-09-27)Oct 13, 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address