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.
T••••• J••••• P•••••
- C••••••• S••••••••• I••• BD affiliated currentsince Aug 17, 2022 · Merrick, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJul 30, 2021 to Aug 17, 2022 · Commack, Ny
- L•• F•••••••• L•• BD affiliatedApr 24, 2018 to Jul 14, 2021 · Woodbury, Ny
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to May 7, 2018 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJun 18, 2013 to Jan 28, 2015 · Melville, Ny
- H••• S••••••••• •••• I••• BD affiliatedDec 8, 2012 to Jun 17, 2013 · Huntington Station, Ny
- W••• I••••••••• I••• unclassifiedDec 19, 2005 to Dec 4, 2008 · Carle Place, Ny
- C••••••• I••••••••• S••••••• unclassifiedOct 24, 2005 to Dec 1, 2005 · East Nortport, Ny
- C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- L•• F•••••••• L•• to C••••• I••••••••• A••••••• L••left Jul 14, 2021, registered Jul 30, 2021 (16 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• A•••••••• L•• to L•• F•••••••• L••left May 7, 2018, registered Apr 24, 2018 (-13 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- H••• S••••••••• •••• I••• to C•••••• O•• F•••••••• A••••••• L••left Jun 17, 2013, registered Jun 18, 2013 (1 days) · Other
- W••• I••••••••• I••• to H••• S••••••••• •••• I•••left Dec 4, 2008, registered Dec 8, 2012 (1465 days) · Other
- C••••••• I••••••••• S••••••• to W••• I••••••••• I•••left Dec 1, 2005, registered Dec 19, 2005 (18 days) · Other
- T••••• J••••• P••••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-08-17)Aug 17, 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address