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.
B•••• J••••• E••••
- L•••• F••• A••••••• S••••••• BD affiliated currentsince Oct 14, 2022 · Great Neck, Ny
- M••••••••• S••••••••• I••• formerFeb 13, 2015 to Oct 31, 2022 · Little Neck, Ny
- M••••••••• S••••••••• I••• to L•••• F••• A••••••• S•••••••left Oct 31, 2022, registered Oct 14, 2022 (-17 days) · RIA to affiliated broker-dealer or bank · moved with a team
- B•••• J••••• E•••• left M••••••••• S••••••••• I••• for L•••• F••• A••••••• S••••••• (registered 2022-10-14)Oct 31, 2022 · 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