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.
E•••• P•••••
- E•••• S••••••••• L•• BD affiliated currentsince Mar 10, 2022 · White Plains, Ny
- P••• I••••••••• L•• asset managerOct 17, 2013 to May 31, 2019 · Newark, Nj
- N•••••••• B••••• B• L•• no RAUMMar 7, 2012 to Oct 2, 2013 · New York, Ny
- C••••••• S••••••••• I••• BD affiliatedJan 14, 2011 to Mar 2, 2012 · Yonkers, Ny
- M••••• S•••••• wirehouseJul 30, 2010 to Jan 12, 2011 · Pearl River, Ny
- P••• I••••••••• L•• to E•••• S••••••••• L••left May 31, 2019, registered Mar 10, 2022 (1014 days) · Other
- N•••••••• B••••• B• L•• to P••• I••••••••• L••left Oct 2, 2013, registered Oct 17, 2013 (15 days) · Other
- C••••••• S••••••••• I••• to N•••••••• B••••• B• L••left Mar 2, 2012, registered Mar 7, 2012 (5 days) · Other
- M••••• S•••••• to C••••••• S••••••••• I•••left Jan 12, 2011, registered Jan 14, 2011 (2 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
- 24derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address