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••••••• S•••••••••
- O•••• W•••••• I••• BD affiliated currentsince Oct 11, 2024 · White Plains, Ny
- A••••••• P••••••••• A•••••••• I•• formerFeb 14, 2018 to Oct 11, 2024 · Holbrook, Ny
- K••••• A•••••••• I••• BD affiliatedSep 6, 2017 to Nov 30, 2017 · Great Neck, Ny
- E•••••••• A•••••••• L•• national BDFeb 12, 2013 to Sep 5, 2017 · New York, Ny
- A••••••• P••••••••• A•••••••• I•• to O•••• W•••••• I•••left Oct 11, 2024, registered Oct 11, 2024 (0 days) · corporate re-registration, not a move
- K••••• A•••••••• I••• to A••••••• P••••••••• A•••••••• I••left Nov 30, 2017, registered Feb 14, 2018 (76 days) · Other
- E•••••••• A•••••••• L•• to K••••• A•••••••• I•••left Sep 5, 2017, registered Sep 6, 2017 (1 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
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address