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••••• Z• A•••••
- C•••••• S••••• • C••• I••• national BD currentsince Jun 6, 2024 · New York City, Ny
- C•••••• S••••• • C••• I••• national BDAug 5, 2011 to Jan 10, 2024 · New York City, Ny
- N•••••••• B••••• B• L•• no RAUMNov 29, 2004 to Jan 18, 2011 · New York, Ny
- B•• M••••• S••••••••• C••••••••• otherNov 20, 2003 to Jul 19, 2004 · Uniondale, Ny
- N•••••••• B••••• B• L•• to C•••••• S••••• • C••• I•••left Jan 18, 2011, registered Aug 5, 2011 (199 days) · Other
- B•• M••••• S••••••••• C••••••••• to N•••••••• B••••• B• L••left Jul 19, 2004, registered Nov 29, 2004 (133 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
- National broker-dealer RIAderived
- Years in industry
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address