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••• L•••• M••••••
- W•••• F•••• A••••••• wirehouse currentsince Apr 4, 2016 · West Nyack, Ny
- L•• F•••••••• L•• BD affiliatedMay 15, 2012 to Apr 22, 2016 · Tappan, Ny
- H••• S••••••••• •••• I••• BD affiliatedApr 22, 2009 to May 15, 2012 · Pearl River, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedMay 20, 2004 to May 15, 2006 · Melville, Ny
- L•• F•••••••• L•• to W•••• F•••• A•••••••left Apr 22, 2016, registered Apr 4, 2016 (-18 days) · Other
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left May 15, 2012, registered May 15, 2012 (0 days) · corporate re-registration, not a move
- C•••••• O•• F•••••••• A••••••• L•• to H••• S••••••••• •••• I•••left May 15, 2006, registered Apr 22, 2009 (1073 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
- Wirehousederived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address