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.
S••••••• B••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Aug 30, 2023 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedApr 15, 2022 to Sep 5, 2023 · Scarsdale, Ny
- L•• F•••••••• L•• BD affiliatedNov 19, 2020 to Apr 12, 2022 · Rockaway Park, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 9, 2012 to Nov 20, 2020 · Valley Stream, Ny
- L•• F•••••••• L•• BD affiliatedSep 5, 2012 to Oct 8, 2012 · West Hempstead, Ny
- C•••• I••••••••• S••••••• C•••• formerAug 21, 2007 to Aug 14, 2009 · New Rochelle, Ny
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Sep 5, 2023, registered Aug 30, 2023 (-6 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to H••• S••••••••• •••• I•••left Apr 12, 2022, registered Apr 15, 2022 (3 days) · RIA to affiliated broker-dealer or bank
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left Nov 20, 2020, registered Nov 19, 2020 (-1 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to H••• S••••••••• •••• I•••left Oct 8, 2012, registered Oct 9, 2012 (1 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Aug 14, 2009, registered Sep 5, 2012 (1118 days) · Other
- S••••••• B•••• left H••• S••••••••• •••• I••• for C•••••••• G••••• M•••••• I••• (registered 2023-08-30)Sep 5, 2023 · Advisor changed firm · fact
- S••••••• B•••• left L•• F•••••••• L•• for H••• S••••••••• •••• I••• (registered 2022-04-15)Apr 12, 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address