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•••• J•••• M••••••
- Y••• C••••• F•••••••• L•• state registered currentsince Jun 28, 2022 · St. Cloud, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedJun 14, 2021 to May 23, 2022 · Woodbury, Ny
- E•••• S••••••••• L•• BD affiliatedMay 24, 2016 to Mar 16, 2018 · Melville, Ny
- P••• A••••• S••••••••• L•• BD affiliatedAug 22, 2012 to Jan 15, 2015 · Woodbury, Ny
- H•••••• T••••••• • K•••• L•• independent RIAFeb 3, 2012 to Jun 29, 2012 · Uniondale, Ny
- S••••••• I••••••••• I••• formerOct 20, 2004 to Feb 3, 2012 · St Louis, Mo
- M•• I•••••••• S•••••••• L•• to Y••• C••••• F•••••••• L••left May 23, 2022, registered Jun 28, 2022 (36 days) · Affiliated broker-dealer or bank to a state-registered adviser
- E•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 16, 2018, registered Jun 14, 2021 (1186 days) · Other
- P••• A••••• S••••••••• L•• to E•••• S••••••••• L••left Jan 15, 2015, registered May 24, 2016 (495 days) · Other
- H•••••• T••••••• • K•••• L•• to P••• A••••• S••••••••• L••left Jun 29, 2012, registered Aug 22, 2012 (54 days) · Other
- S••••••• I••••••••• I••• to H•••••• T••••••• • K•••• L••left Feb 3, 2012, registered Feb 3, 2012 (0 days) · Other
- L•••• J•••• M•••••• left M•• I•••••••• S•••••••• L•• for Y••• C••••• F•••••••• L•• (registered 2022-06-28)May 23, 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
- STATE REGISTEREDderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address