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.
J•••• R•••• C•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 2, 2022 · Hempstead, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedSep 22, 2017 to Jul 18, 2022 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedAug 9, 2013 to Sep 27, 2017 · New York, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedMar 29, 2012 to May 21, 2013 · Melville, Ny
- E•••• N••••••• S••••••••• I••• formerJul 14, 2010 to Nov 28, 2011 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 11, 1998 to Aug 18, 2009 · New York, Ny
- C•••••••• G••••• M•••••• I••• to L•• F•••••••• L••left Jul 18, 2022, registered Aug 2, 2022 (15 days) · Affiliated broker-dealer or bank to independent RIA
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Sep 27, 2017, registered Sep 22, 2017 (-5 days) · Other · moved with a team
- C•••••• O•• F•••••••• A••••••• L•• to H••• S••••••••• •••• I•••left May 21, 2013, registered Aug 9, 2013 (80 days) · Other
- E•••• N••••••• S••••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Nov 28, 2011, registered Mar 29, 2012 (122 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••• N••••••• S••••••••• I•••left Aug 18, 2009, registered Jul 14, 2010 (330 days) · Other
- J•••• R•••• C••••••••• left C•••••••• G••••• M•••••• I••• for L•• F•••••••• L•• (registered 2022-08-02)Jul 18, 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
- 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