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•••• S•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 16, 2021 · Great Neck, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 19, 2012 to Jul 19, 2021 · New York, Ny
- B•• M••••• S••••••••• C••••••••• otherMay 24, 2004 to Jun 28, 2005 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 19, 2021, registered Jul 16, 2021 (-3 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- B•• M••••• S••••••••• C••••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 28, 2005, registered Jul 19, 2012 (2578 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address