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.
R••••• M•••••• C•••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 7, 2023 · Staten Island, Ny
- S••••••••• A•••••• A•••••••• I••• formerJan 7, 2013 to Nov 9, 2023 · Staten Island, Ny
- S••••••••• A•••••• A•••••••• I••• formerOct 12, 2009 to Dec 31, 2012 · Staten Island, Ny
- P•• W••••• M••••••••• BD affiliatedMar 8, 2007 to Sep 22, 2009 · Ridgewood, Nj
- C•••• I••••••••• S••••••• C•••• formerOct 5, 2006 to Mar 2, 2007 · Chicago, Il
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to May 2, 2006 · Union , Nj
- Q•••• • R•••••• I••• unclassifiedNov 21, 2002 to Oct 20, 2004 · Harrison , Nj
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Nov 9, 2023, registered Nov 7, 2023 (-2 days) · Affiliated broker-dealer or bank to another
- P•• W••••• M••••••••• to S••••••••• A•••••• A•••••••• I•••left Sep 22, 2009, registered Oct 12, 2009 (20 days) · Other
- C•••• I••••••••• S••••••• C•••• to P•• W••••• M•••••••••left Mar 2, 2007, registered Mar 8, 2007 (6 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2006, registered Oct 5, 2006 (156 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- R••••• M•••••• C••••• left S••••••••• A•••••• A•••••••• I••• for L•• F•••••••• L•• (registered 2023-11-07)Nov 9, 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address