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.
C•••• W•
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Staten Island, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerApr 7, 2022 to Mar 31, 2025 · Staten Island, Ny
- P•••• S••••••••• L•• no RAUMApr 14, 2021 to Aug 11, 2021 · East Brunswick, Nj
- E•••• • Y•••• I••••••••• A••••••• L•• no RAUMNov 12, 2019 to Jan 4, 2022 · Secaucus, Nj
- E•••• S••••••••• L•• BD affiliatedJan 9, 2018 to Mar 26, 2019 · White Plains, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMay 14, 2008 to Feb 13, 2009 · Staten Island, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- E•••• • Y•••• I••••••••• A••••••• L•• to P•••• S••••••••• L••left Jan 4, 2022, registered Apr 14, 2021 (-265 days) · Other
- P•••• S••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 11, 2021, registered Apr 7, 2022 (239 days) · Affiliated broker-dealer or bank to another
- E•••• S••••••••• L•• to E•••• • Y•••• I••••••••• A••••••• L••left Mar 26, 2019, registered Nov 12, 2019 (231 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to E•••• S••••••••• L••left Feb 13, 2009, registered Jan 9, 2018 (3252 days) · Other
- C•••• W• left E•••• • Y•••• I••••••••• A••••••• L•• for P•••• S••••••••• L•• (registered 2021-04-14)Jan 4, 2022 · 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address