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.
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D•••• L••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 4, 2023 · Manhasset, Ny
- S•••••••• S••••••••• BD affiliatedSep 11, 2015 to Sep 5, 2023 · Bronx, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jul 9, 2015 · Howard Beach, Ny
- C•••• I••••••••• S••••••• C•••• formerApr 5, 2012 to Oct 1, 2012 · Ozone Park, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Apr 4, 2012 · Rosedale, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Oct 23, 2009 · Jamaica, Ny
- Q•••• • R•••••• I••• unclassifiedNov 25, 2002 to Oct 20, 2004 · Rosedale, Ny
- S•••••••• S••••••••• to O•••• W•••••• I•••left Sep 5, 2023, registered Oct 4, 2023 (29 days) · Affiliated broker-dealer or bank to another · moved with a team
- J••• M••••• S••••••••• L•• to S•••••••• S•••••••••left Jul 9, 2015, registered Sep 11, 2015 (64 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Apr 4, 2012, registered Apr 5, 2012 (1 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- D•••• L•••• left S•••••••• S••••••••• for O•••• W•••••• I••• (registered 2023-10-04)Sep 5, 2023 · Advisor changed firm · fact
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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address