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.
J••• D• C•••••
- O•••• W•••••• I••• BD affiliated currentsince May 2, 2022 · Staten Island, Ny
- A••••••• P••••••••• A•••••••• I•• formerDec 23, 2013 to May 4, 2022 · Holbrook, Ny
- I••••• F•••••••• C••••••••• formerNov 7, 2008 to Dec 12, 2013 · Commack, Ny
- P••••••••• F•••••••• A••••••• unclassifiedApr 7, 2003 to Dec 31, 2004 · Staten Island, Ny
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left May 4, 2022, registered May 2, 2022 (-2 days) · channel change inside one enterprise, not a move · moved with a team
- I••••• F•••••••• C••••••••• to A••••••• P••••••••• A•••••••• I••left Dec 12, 2013, registered Dec 23, 2013 (11 days) · Other
- P••••••••• F•••••••• A••••••• to I••••• F•••••••• C•••••••••left Dec 31, 2004, registered Nov 7, 2008 (1407 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