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.
Y•• A•••••••
- S•••••••• S••••••••• BD affiliated currentsince Mar 19, 2021 · Brooklyn, Ny
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Sep 19, 2012 · Brooklyn, Ny
- I••• S••••••••• I••• unclassifiedSep 13, 2006 to May 27, 2008 · Brooklyn, Ny
- E•••• N••••••• S••••••••• I••• formerJan 22, 2004 to Sep 12, 2006 · Brooklyn, Ny
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Mar 19, 2021 (3103 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- E•••• N••••••• S••••••••• I••• to I••• S••••••••• I•••left Sep 12, 2006, registered Sep 13, 2006 (1 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