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••••• S•••• M••••••• O•••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 17, 2023 · Garden City, Ny
- E•••• S••••••••• L•• BD affiliatedJul 17, 2019 to Nov 8, 2023 · Melville, Ny
- F••••••• S••••••••• I••• independent RIAFeb 22, 2016 to Apr 17, 2019 · Rockville Center, Ny
- E•••• S••••••••• L•• to L•• F•••••••• L••left Nov 8, 2023, registered Oct 17, 2023 (-22 days) · Affiliated broker-dealer or bank to another
- F••••••• S••••••••• I••• to E•••• S••••••••• L••left Apr 17, 2019, registered Jul 17, 2019 (91 days) · RIA to affiliated broker-dealer or bank
- A••••• S•••• M••••••• O••••• left E•••• S••••••••• L•• for L•• F•••••••• L•• (registered 2023-10-17)Nov 8, 2023 · Advisor changed firm · fact
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