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•••••• F•••••• E•••
- C••••••••• F•••••••• N•••••• national BD currentsince Jan 7, 2025 · North Bellmore, Ny
- O•••• W•••••• I••• BD affiliatedOct 11, 2024 to Jan 10, 2025 · Scottsdale, Az
- A••••••• P••••••••• A•••••••• I•• formerJun 13, 2017 to Oct 11, 2024 · Holbrook, Ny
- 4••••••• F•••••••• G•••• I••• independent RIAMay 7, 2013 to May 31, 2017 · Syosset, Ny
- H•••••• T••••••• • K•••• L•• independent RIAMar 16, 2005 to Jul 5, 2007 · Uniondale, Ny
- E•••••••• A•••••••• L•• national BDJul 30, 2002 to Jul 7, 2003 · Lake Success, Ny
- O•••• W•••••• I••• to C••••••••• F•••••••• N••••••left Jan 10, 2025, registered Jan 7, 2025 (-3 days) · Affiliated broker-dealer or bank to another · moved with a team
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- 4••••••• F•••••••• G•••• I••• to A••••••• P••••••••• A•••••••• I••left May 31, 2017, registered Jun 13, 2017 (13 days) · Other
- H•••••• T••••••• • K•••• L•• to 4••••••• F•••••••• G•••• I•••left Jul 5, 2007, registered May 7, 2013 (2133 days) · Other
- E•••••••• A•••••••• L•• to H•••••• T••••••• • K•••• L••left Jul 7, 2003, registered Mar 16, 2005 (618 days) · Other
- M•••••• F•••••• E••• left O•••• W•••••• I••• for C••••••••• F•••••••• N•••••• (registered 2025-01-07)Jan 10, 2025 · 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
- 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