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•••• G• K••••••••
- O••••••••• • C•• I••• BD affiliated currentsince Apr 6, 2023 · Jericho, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Apr 24, 2023 · Jericho, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 5, 2007 to Jun 1, 2009 · Jericho, Ny
- C••••••• I••••••••• S••••••• unclassifiedNov 9, 2004 to Mar 19, 2007 · Plainview, Ny
- M••••• S•••••• to O••••••••• • C•• I•••left Apr 24, 2023, registered Apr 6, 2023 (-18 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C••••••• I••••••••• S••••••• to M••••• S•••••• • C•• L••left Mar 19, 2007, registered Apr 5, 2007 (17 days) · Other
- L•••• G• K•••••••• left M••••• S•••••• for O••••••••• • C•• I••• (registered 2023-04-06)Apr 24, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address