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.
A•••••••• V••••• Z•••••••
- E•• F•••••••• A••••••• independent RIA currentsince Sep 25, 2017 · Hauppauge, Ny
- A••••••• A••••••• S••••••• formerJul 29, 2011 to Oct 12, 2017 · Melville, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedJul 10, 2007 to Oct 2, 2009 · Melville, Ny
- L•••• A•••••••• I••• unclassifiedOct 24, 2006 to May 7, 2007 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedNov 9, 2005 to Sep 7, 2006 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 9, 2001 to Oct 4, 2005 · New York, Ny
- A••••••• A••••••• S••••••• to E•• F•••••••• A•••••••left Oct 12, 2017, registered Sep 25, 2017 (-17 days) · Other
- A••••• A•• P••••••• S••••••• to A••••••• A••••••• S•••••••left Oct 2, 2009, registered Jul 29, 2011 (665 days) · Other
- L•••• A•••••••• I••• to A••••• A•• P••••••• S•••••••left May 7, 2007, registered Jul 10, 2007 (64 days) · Other
- H••• S••••••••• •••• I••• to L•••• A•••••••• I•••left Sep 7, 2006, registered Oct 24, 2006 (47 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Oct 4, 2005, registered Nov 9, 2005 (36 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
- Independent wealth managerderived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address