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.
M••• A•••• B•••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 7, 2022 · Staten Island, Ny
- V••••••••• A••••••• S••••••• BD affiliatedDec 24, 2013 to Nov 4, 2022 · Woodbury, Ny
- W•••• F•••• A••••••• wirehouseOct 31, 2011 to Dec 24, 2013 · Roselle, Nj
- C•••• I••••••••• S••••••• C•••• formerApr 10, 2008 to Nov 1, 2011 · Brooklyn, Ny
- V••••••••• A••••••• S••••••• to L•• F•••••••• L••left Nov 4, 2022, registered Nov 7, 2022 (3 days) · Affiliated broker-dealer or bank to independent RIA
- W•••• F•••• A••••••• to V••••••••• A••••••• S•••••••left Dec 24, 2013, registered Dec 24, 2013 (0 days) · Other
- C•••• I••••••••• S••••••• C•••• to W•••• F•••• A•••••••left Nov 1, 2011, registered Oct 31, 2011 (-1 days) · Other
- M••• A•••• B••••••• left V••••••••• A••••••• S••••••• for L•• F•••••••• L•• (registered 2022-11-07)Nov 4, 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address