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••• D••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Mar 22, 2019 · Hauppauge, Ny
- F•••• E••••• A•••• M••••••••• I•• formerMay 4, 2012 to Jan 10, 2019 · Hauppauge, Ny
- A••••••• A•••• M••••••••• I••• mixed wealthApr 3, 2007 to Jul 13, 2011 · Melville, Ny
- B••• S•••••• A•••• M••••••••• I••• no RAUMJun 30, 2004 to Aug 15, 2005 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJun 30, 2004 to Jul 9, 2004 · Ny, Ny
- F•••• E••••• A•••• M••••••••• I•• to S•••••• N••••••• • C••••••• I•••••••••left Jan 10, 2019, registered Mar 22, 2019 (71 days) · Other · moved with a team
- A••••••• A•••• M••••••••• I••• to F•••• E••••• A•••• M••••••••• I••left Jul 13, 2011, registered May 4, 2012 (296 days) · Other
- B••• S•••••• A•••• M••••••••• I••• to A••••••• A•••• M••••••••• I•••left Aug 15, 2005, registered Apr 3, 2007 (596 days) · Other
- J••• M••••• S••••••••• L•• to B••• S•••••• A•••• M••••••••• I•••left Jul 9, 2004, registered Jun 30, 2004 (-9 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