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.
G••••• L• R••••••
- S••••• F••••••••• L•• BD affiliated currentsince Feb 8, 2021 · White Plains, Ny
- S••••• F•••••••• R•••••••• I•• formerApr 1, 2008 to Sep 20, 2018 · Parsippany, Nj
- S••••• E••••••• I•• formerApr 1, 2008 to Dec 27, 2018 · White Plains, Ny
- P••• A••••• S••••••••• L•• BD affiliatedApr 29, 2003 to Apr 8, 2008 · White Plains, Ny
- S••••• E••••••• I•• to S••••• F••••••••• L••left Dec 27, 2018, registered Feb 8, 2021 (774 days) · RIA to affiliated broker-dealer or bank · moved with a team
- S••••• F•••••••• R•••••••• I•• to S••••• E••••••• I••left Sep 20, 2018, registered Apr 1, 2008 (-3824 days) · Other · moved with a team
- P••• A••••• S••••••••• L•• to S••••• F•••••••• R•••••••• I••left Apr 8, 2008, registered Apr 1, 2008 (-7 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