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•••••• E••••• D• L••••••
- O•••• W•••••• I••• BD affiliated currentsince Feb 8, 2017 · Hawthorne, Ny
- U•••••• W••••• M••••••••• L•• formerJan 18, 2017 to Jan 31, 2017 · New York, Ny
- P•••••• P•••••••• P•••••••• L•• formerNov 25, 2013 to Jan 13, 2017 · Paramus, Nj
- U•••••• W••••• M••••••••• L•• to O•••• W•••••• I•••left Jan 31, 2017, registered Feb 8, 2017 (8 days) · Other
- P•••••• P•••••••• P•••••••• L•• to U•••••• W••••• M••••••••• L••left Jan 13, 2017, registered Jan 18, 2017 (5 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