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.
L•• A• K•••
- O••• W••••• A•••••••• L•• independent RIA currentsince Jan 22, 2019 · Jericho, Ny
- M••••• S•••••• wirehouseOct 23, 2009 to Jan 22, 2019 · Great Neck, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 29, 2007 to Nov 19, 2009 · Plainview, Ny
- C••••••• I••••••••• S••••••• unclassifiedNov 9, 2004 to May 29, 2007 · Great Neck, Ny
- M••••• S•••••• to O••• W••••• A•••••••• L••left Jan 22, 2019, registered Jan 22, 2019 (0 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Nov 19, 2009, registered Oct 23, 2009 (-27 days) · Other
- C••••••• I••••••••• S••••••• to C•••••••• G••••• M•••••• I•••left May 29, 2007, registered May 29, 2007 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address