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.
M•••••• W•••••• C••••
- O•••• W•••••• I••• BD affiliated currentsince Mar 24, 2011 · Garden City, Ny
- O••••••••• • C•• I••• BD affiliatedJul 22, 2005 to Aug 7, 2007 · Melville, Ny
- L•••••••• T••••••• A•••• M••••••••• I•• otherMar 23, 2004 to Jul 22, 2005 · Melville, Ny
- Q•••• • R•••••• I••• unclassifiedNov 25, 2002 to Jan 29, 2004 · Garden City, Ny
- O••••••••• • C•• I••• to O•••• W•••••• I•••left Aug 7, 2007, registered Mar 24, 2011 (1325 days) · Other
- L•••••••• T••••••• A•••• M••••••••• I•• to O••••••••• • C•• I•••left Jul 22, 2005, registered Jul 22, 2005 (0 days) · Other
- Q•••• • R•••••• I••• to L•••••••• T••••••• A•••• M••••••••• I••left Jan 29, 2004, registered Mar 23, 2004 (54 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address