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• M•••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 1, 2022 · Great Neck, Ny
- K•••• P•••• C•••••• M••••••••• L•• formerSep 27, 2010 to Jun 3, 2022 · Great Neck, Ny
- S•••••••• A••••••• L•• national BDFeb 25, 2004 to Jul 7, 2009 · New York, Ny
- K•••• P•••• C•••••• M••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 3, 2022, registered Jun 1, 2022 (-2 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S•••••••• A••••••• L•• to K•••• P•••• C•••••• M••••••••• L••left Jul 7, 2009, registered Sep 27, 2010 (447 days) · Other
- J••• A• M••••••• left K•••• P•••• C•••••• M••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2022-06-01)Jun 3, 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