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.
P•••• M••••••
- O•••• I••••••••• I••• BD affiliated currentsince Jun 21, 2023 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedMay 1, 2018 to Jul 3, 2023 · New York, Ny
- W•••• F•••• A••••••• wirehouseMay 4, 2016 to Apr 26, 2018 · Westport, Ct
- L•• F•••••••• L•• BD affiliatedMay 16, 2012 to May 24, 2016 · Tappan, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 9, 2009 to May 15, 2012 · Nyack, Ny
- P••••••• S••••••••• I••• formerJun 16, 2008 to Jun 4, 2009 · Brookfield, Ct
- C•••• I••••••••• S••••••• C•••• formerSep 27, 2007 to Mar 5, 2008 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedJul 12, 2006 to Sep 5, 2007 · Ossining, Ny
- H••• S••••••••• •••• I••• to O•••• I••••••••• I•••left Jul 3, 2023, registered Jun 21, 2023 (-12 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Apr 26, 2018, registered May 1, 2018 (5 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••• F•••• A•••••••left May 24, 2016, registered May 4, 2016 (-20 days) · Other · moved with a team
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 16, 2012 (1 days) · corporate re-registration, not a move
- P••••••• S••••••••• I••• to H••• S••••••••• •••• I•••left Jun 4, 2009, registered Jun 9, 2009 (5 days) · Other
- C•••• I••••••••• S••••••• C•••• to P••••••• S••••••••• I•••left Mar 5, 2008, registered Jun 16, 2008 (103 days) · Other
- H••• S••••••••• •••• I••• to C•••• I••••••••• S••••••• C••••left Sep 5, 2007, registered Sep 27, 2007 (22 days) · Other
- P•••• M•••••• left H••• S••••••••• •••• I••• for O•••• I••••••••• I••• (registered 2023-06-21)Jul 3, 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address