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••••• S•••••• wirehouse currentsince Sep 19, 2022 · Melville, Ny
- O•••• W•••••• I••• BD affiliatedJan 20, 2022 to Aug 26, 2022 · Vienna, Va
- P•••••••• A••••••• national BDOct 21, 2019 to Jan 21, 2022 · Great Neck, Ny
- E•••••••• A•••••••• L•• national BDSep 21, 2017 to Mar 5, 2018 · Melville, Ny
- P•••••••• A••••••• national BDJul 30, 2015 to Sep 1, 2017 · Great Neck, Ny
- B••••••• C•••••• I••• formerMar 13, 2009 to Aug 28, 2013 · New York, Ny
- L••••• B••••••• I••• unclassifiedJul 10, 2008 to Oct 15, 2008 · New York, Ny
- O•••• W•••••• I••• to M••••• S••••••left Aug 26, 2022, registered Sep 19, 2022 (24 days) · Affiliated broker-dealer or bank to wirehouse
- P•••••••• A••••••• to O•••• W•••••• I•••left Jan 21, 2022, registered Jan 20, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to P•••••••• A•••••••left Mar 5, 2018, registered Oct 21, 2019 (595 days) · Affiliated broker-dealer or bank to another
- P•••••••• A••••••• to E•••••••• A•••••••• L••left Sep 1, 2017, registered Sep 21, 2017 (20 days) · Affiliated broker-dealer or bank to another
- B••••••• C•••••• I••• to P•••••••• A•••••••left Aug 28, 2013, registered Jul 30, 2015 (701 days) · Other
- L••••• B••••••• I••• to B••••••• C•••••• I•••left Oct 15, 2008, registered Mar 13, 2009 (149 days) · corporate re-registration, not a move
- D••• K••• C••••••• left O•••• W•••••• I••• for M••••• S•••••• (registered 2022-09-19)Aug 26, 2022 · Advisor changed firm · fact
- D••• K••• C••••••• left P•••••••• A••••••• for O•••• W•••••• I••• (registered 2022-01-20)Jan 21, 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
- Wirehousederived
- Years in industry
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address