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••• Y• H••••
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouse currentsince Jun 14, 2021 · Forest Hills, Ny
- H••• S••••••••• •••• I••• BD affiliatedJun 30, 2010 to Jun 28, 2021 · Flushing, Ny
- C•••• I••••••••• S••••••• C•••• formerSep 22, 2005 to Mar 3, 2009 · New York, Ny
- H••• S••••••••• •••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 28, 2021, registered Jun 14, 2021 (-14 days) · Affiliated broker-dealer or bank to wirehouse
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Mar 3, 2009, registered Jun 30, 2010 (484 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
- Wirehousederived
- Years in industry
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address