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.
B••••• D••••
- S•••••••• A••••••• L•• national BD currentsince Mar 31, 2025 · Middle Village, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerJul 13, 2018 to Mar 31, 2025 · Boston, Ma
- S•••••••• A••••••• L•• national BDMay 31, 2018 to Jul 13, 2018 · Lake Grove, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerAug 13, 2013 to May 4, 2018 · Garden City, Ny
- T• A••••••••• I••• formerAug 2, 2013 to May 4, 2018 · Garden City, Ny
- C•••••• S••••• • C••• I••• national BDJun 19, 2006 to Sep 25, 2009 · New York City, Ny
- B•• M••••• S••••••••• C••••••••• otherMay 11, 2005 to Jun 1, 2006 · Uniondale, Ny
- C•••• I••••••••• S••••••• C•••• formerMar 11, 2003 to Jun 13, 2003 · New York, Ny
- B•• M••••• S••••••••• C••••••••• otherOct 30, 2002 to Jan 15, 2003 · Uniondale, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to S•••••••• A••••••• L••left Mar 31, 2025, registered Mar 31, 2025 (0 days) · corporate re-registration, not a move
- S•••••••• A••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · corporate re-registration, not a move
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left May 4, 2018, registered Aug 13, 2013 (-1725 days) · channel change inside one enterprise, not a move
- T• A••••••••• I••••••••• M••••••••• L•• to S•••••••• A••••••• L••left May 4, 2018, registered May 31, 2018 (27 days) · RIA to affiliated broker-dealer or bank
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left Sep 25, 2009, registered Aug 2, 2013 (1407 days) · Affiliated broker-dealer or bank to a newly registered adviser
- B•• M••••• S••••••••• C••••••••• to C•••••• S••••• • C••• I•••left Jun 1, 2006, registered Jun 19, 2006 (18 days) · Other
- C•••• I••••••••• S••••••• C•••• to B•• M••••• S••••••••• C•••••••••left Jun 13, 2003, registered May 11, 2005 (698 days) · Other
- B•• M••••• S••••••••• C••••••••• to C•••• I••••••••• S••••••• C••••left Jan 15, 2003, registered Mar 11, 2003 (55 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