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•••••••• D••••• T•••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Oct 15, 2024 · Holbrook, Ny
- E•••••••• A•••••••• L•• national BDMar 26, 2019 to Jun 16, 2020 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseFeb 23, 2015 to Apr 5, 2019 · Cedarhurst, Ny
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Feb 20, 2015 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedFeb 26, 2014 to Jan 28, 2015 · Melville, Ny
- M••••• S•••••• wirehouseFeb 26, 2013 to Mar 4, 2014 · Jericho, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 8, 2011 to Mar 4, 2013 · Garden City, Ny
- E•••••••• A•••••••• L•• to C•••••••• G••••• M•••••• I•••left Jun 16, 2020, registered Oct 15, 2024 (1582 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to E•••••••• A•••••••• L••left Apr 5, 2019, registered Mar 26, 2019 (-10 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••• O•• A•••••••• L•• to J••• M••••• S••••••••• L••left Feb 20, 2015, registered Feb 23, 2015 (3 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to C•••••• O•• F•••••••• A••••••• L••left Mar 4, 2014, registered Feb 26, 2014 (-6 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Mar 4, 2013, registered Feb 26, 2013 (-6 days) · Wirehouse to wirehouse
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
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address