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••••••• E• S•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jan 12, 2021 · Hauppauge, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 19, 2012 to Jan 25, 2021 · Syosset, Ny
- F••• A••••••• formerJun 25, 2010 to Jun 11, 2012 · Bay Shore, Ny
- C•••• I••••••••• S••••••• C•••• formerApr 20, 2009 to Feb 12, 2010 · Huntington, Ny
- H••• S••••••••• •••• I••• to A••••••••• F•••••••• S•••••••• L••left Jan 25, 2021, registered Jan 12, 2021 (-13 days) · Affiliated broker-dealer or bank to another · moved with a team
- F••• A••••••• to H••• S••••••••• •••• I•••left Jun 11, 2012, registered Jun 19, 2012 (8 days) · Other
- C•••• I••••••••• S••••••• C•••• to F••• A•••••••left Feb 12, 2010, registered Jun 25, 2010 (133 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
- National broker-dealer RIAderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address