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••••••• B••••••• A•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 2, 2013 · Rockville Center, Ny
- H••• S••••••••• •••• I••• BD affiliatedSep 22, 2010 to Jun 26, 2013 · Oceanside, Ny
- W•••• F•••• A••••••• wirehouseJun 20, 2007 to Sep 13, 2010 · Cedarhurst, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Jun 19, 2007 · Melville, Ny
- Q•••• • R•••••• I••• unclassifiedAug 30, 2002 to Oct 20, 2004 · Hewlett, Ny
- H••• S••••••••• •••• I••• to A••••••••• F•••••••• S•••••••• L••left Jun 26, 2013, registered Jul 2, 2013 (6 days) · Other
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Sep 13, 2010, registered Sep 22, 2010 (9 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to W•••• F•••• A•••••••left Jun 19, 2007, registered Jun 20, 2007 (1 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
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