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.
D••••• L•••• H••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jun 26, 2014 · Hauppauge, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 3, 2012 to Feb 13, 2014 · Long Island City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 6, 2007 to Jul 2, 2012 · Forest Hills, Ny
- C•••••••• G••••• M•••••• I••• to A••••••••• F•••••••• S•••••••• L••left Feb 13, 2014, registered Jun 26, 2014 (133 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••••••• G••••• M•••••• I•••left Jul 2, 2012, registered Aug 3, 2012 (32 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address