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••• A••• F••••••
- T•••••••• A••••••• G••••• I••• BD affiliated currentsince Jul 30, 2019 · Greensburg, Pa
- C•••••• F•••••••• S•••••••• I••• formerJan 24, 2017 to Jul 18, 2019 · East Setauket, Ny
- P••••••• C•••••• S•••••••• I••• independent RIASep 13, 2012 to Jan 20, 2017 · Hauppauge, Ny
- H••• S••••••••• •••• I••• BD affiliatedMar 26, 2010 to Oct 29, 2010 · Huntington, Ny
- W••• I••••••••• I••• unclassifiedJan 30, 2008 to Jan 7, 2009 · Shirley, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 8, 2006 to Feb 26, 2008 · Hauppauge, Ny
- C•••• I••••••••• S••••••• C•••• formerJun 18, 1998 to Apr 3, 2006 · Mt. Sinai, Ny
- C•••••• F•••••••• S•••••••• I••• to T•••••••• A••••••• G••••• I•••left Jul 18, 2019, registered Jul 30, 2019 (12 days) · RIA to affiliated broker-dealer or bank
- P••••••• C•••••• S•••••••• I••• to C•••••• F•••••••• S•••••••• I•••left Jan 20, 2017, registered Jan 24, 2017 (4 days) · Other
- H••• S••••••••• •••• I••• to P••••••• C•••••• S•••••••• I•••left Oct 29, 2010, registered Sep 13, 2012 (685 days) · Other
- W••• I••••••••• I••• to H••• S••••••••• •••• I•••left Jan 7, 2009, registered Mar 26, 2010 (443 days) · Other
- H••• S••••••••• •••• I••• to W••• I••••••••• I•••left Feb 26, 2008, registered Jan 30, 2008 (-27 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Apr 3, 2006, registered Jun 8, 2006 (66 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
- 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