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.
R•••••• K••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Sep 24, 2021 · Long Island City, Ny
- S•••••••• S••••••••• BD affiliatedMay 23, 2019 to Sep 24, 2021 · Scotch Plains, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDJun 22, 2018 to May 21, 2019 · Woodbury, Ny
- I••••••••• P••••••••• I••• formerJan 21, 2016 to Sep 24, 2018 · Woodbury, Ny
- S•••••••• S••••••••• BD affiliatedFeb 13, 2014 to Jan 22, 2016 · Brooklyn, Ny
- A••••••• F•••••••• A•••••••• L•• BD affiliatedSep 19, 2013 to Feb 11, 2014 · Hauppauge, Ny
- L•• F•••••••• L•• BD affiliatedJul 6, 2011 to Oct 18, 2011 · Medford, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2009 to Nov 30, 2010 · Carle Place, Ny
- W••• I••••••••• I••• unclassifiedNov 29, 2007 to May 2, 2009 · Port Washington, Ny
- S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••left Sep 24, 2021, registered Sep 24, 2021 (0 days) · Affiliated broker-dealer or bank to another
- A••••••••• F•••••••• S•••••••• L•• to S•••••••• S•••••••••left May 21, 2019, registered May 23, 2019 (2 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Sep 24, 2018, registered Jun 22, 2018 (-94 days) · corporate re-registration, not a move
- S•••••••• S••••••••• to I••••••••• P••••••••• I•••left Jan 22, 2016, registered Jan 21, 2016 (-1 days) · Other
- A••••••• F•••••••• A•••••••• L•• to S•••••••• S•••••••••left Feb 11, 2014, registered Feb 13, 2014 (2 days) · Other
- L•• F•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Oct 18, 2011, registered Sep 19, 2013 (702 days) · Other
- C•••• I••••••••• S••••••• C•••• to L•• F•••••••• L••left Nov 30, 2010, registered Jul 6, 2011 (218 days) · Other
- W••• I••••••••• I••• to C•••• I••••••••• S••••••• C••••left May 2, 2009, registered May 2, 2009 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address