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.
S•••• P•••••• B••••
- A••••• A••••••• state registered currentsince Jul 19, 2021 · Valley Stream, Ny
- O••••• I••••••••• A••••••• L•• independent RIAJun 25, 2021 to Aug 4, 2021 · Sarasota, Fl
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedSep 22, 2015 to Dec 23, 2015 · Long Island City, Ny
- O••••• I••••••••• A••••••• L•• to A••••• A•••••••left Aug 4, 2021, registered Jul 19, 2021 (-16 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O••••• I••••••••• A••••••• L••left Dec 23, 2015, registered Jun 25, 2021 (2011 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
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address