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.
W•••••• J••• N•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 1, 2023 · Goshen, Ny
- S••••••••• A•••••• A•••••••• I••• formerOct 25, 2017 to Feb 6, 2023 · Goshen, Ny
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerNov 18, 2016 to Oct 27, 2017 · Goshen, Ny
- P••• I••••••••• L•• asset managerOct 14, 2005 to Oct 25, 2016 · Newark, Nj
- S••••••••• A•••••• A•••••••• I••• to L•• F•••••••• L••left Feb 6, 2023, registered Feb 1, 2023 (-5 days) · corporate re-registration, not a move
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to S••••••••• A•••••• A•••••••• I•••left Oct 27, 2017, registered Oct 25, 2017 (-2 days) · Other · moved with a team
- P••• I••••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Oct 25, 2016, registered Nov 18, 2016 (24 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
- 22derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address