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.
D•••• M•••• A••••••
- T••••••••• R••••••••• A•••••••• L•• BD affiliated currentsince Nov 9, 2022 · Bay Terrace, Ny
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerAug 29, 2013 to Dec 5, 2013 · Syosset, Ny
- M••••• S•••••• D• I••• unclassifiedFeb 10, 2006 to Feb 24, 2006 · Great Neck, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 12, 2004 to Oct 4, 2004 · New York, Ny
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to T••••••••• R••••••••• A•••••••• L••left Dec 5, 2013, registered Nov 9, 2022 (3261 days) · Other
- M••••• S•••••• D• I••• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Feb 24, 2006, registered Aug 29, 2013 (2743 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Oct 4, 2004, registered Feb 10, 2006 (494 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
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address