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•••••• R••• S••••
- P••••••• T••••••••• P••••••• independent RIA currentsince Aug 30, 2021 · Locust Valley, Ny
- M••••• S•••••• wirehouseMay 14, 2010 to Nov 13, 2019 · Garden City, Ny
- U•• F•••••••• S••••••• I••• wirehouseOct 20, 2006 to May 20, 2010 · Garden City, Ny
- M••••• S•••••• D• I••• unclassifiedJan 3, 2006 to Oct 24, 2006 · Garden City, Ny
- M••••• S•••••• to P••••••• T••••••••• P•••••••left Nov 13, 2019, registered Aug 30, 2021 (656 days) · Wirehouse to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to M••••• S••••••left May 20, 2010, registered May 14, 2010 (-6 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Oct 24, 2006, registered Oct 20, 2006 (-4 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
- Independent wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address