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.
C•••••• M•••••• M•••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · Holbrook, Ny
- A••••••• P••••••••• A•••••••• I•• formerNov 3, 2014 to Oct 11, 2024 · Holbrook, Ny
- 4••••••• F•••••••• G•••• I••• independent RIAFeb 4, 2014 to Oct 31, 2014 · Syosset, Ny
- P••• A••••• S••••••••• L•• BD affiliatedNov 16, 2012 to Oct 7, 2013 · Woodbury, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 19, 2005 to Jul 3, 2012 · Stamford, Ct
- E•••••••• A•••••••• L•• national BDJun 12, 2003 to Mar 18, 2005 · New York, Ny
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- 4••••••• F•••••••• G•••• I••• to A••••••• P••••••••• A•••••••• I••left Oct 31, 2014, registered Nov 3, 2014 (3 days) · Other
- P••• A••••• S••••••••• L•• to 4••••••• F•••••••• G•••• I•••left Oct 7, 2013, registered Feb 4, 2014 (120 days) · Other
- M•• I•••••••• S•••••••• L•• to P••• A••••• S••••••••• L••left Jul 3, 2012, registered Nov 16, 2012 (136 days) · Other
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 18, 2005, registered Aug 19, 2005 (154 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address