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.
J••• S• S•••••••••
- O•••• I••••••••• I••• BD affiliated currentsince Jul 1, 2016 · New York, Ny
- E•••• N••••••• S••••••••• I••• formerJun 8, 2015 to Jul 1, 2016 · New York, Ny
- L•• F•••••••• L•• BD affiliatedApr 4, 2013 to May 19, 2015 · Forest Hills, Ny
- H••• S••••••••• •••• I••• BD affiliatedJan 29, 2013 to Apr 8, 2013 · Forest Hills, Ny
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to E•••• N••••••• S••••••••• I•••left May 19, 2015, registered Jun 8, 2015 (20 days) · Other
- H••• S••••••••• •••• I••• to L•• F•••••••• L••left Apr 8, 2013, registered Apr 4, 2013 (-4 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address