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.
N••••••• J••• D•••
- T••••• A••••••• S•••••••• I••• BD affiliated currentsince Apr 21, 2021 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedDec 6, 2007 to Jul 24, 2020 · New York, Ny
- O••••••••• • C•• I••• BD affiliatedJan 13, 2005 to Nov 9, 2007 · Jericho, Ny
- C•••• I••••••••• S••••••• C•••• formerApr 24, 2002 to Jan 4, 2005 · New York, Ny
- H••• S••••••••• •••• I••• to T••••• A••••••• S•••••••• I•••left Jul 24, 2020, registered Apr 21, 2021 (271 days) · Affiliated broker-dealer or bank to another · moved with a team
- O••••••••• • C•• I••• to H••• S••••••••• •••• I•••left Nov 9, 2007, registered Dec 6, 2007 (27 days) · Other
- C•••• I••••••••• S••••••• C•••• to O••••••••• • C•• I•••left Jan 4, 2005, registered Jan 13, 2005 (9 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address