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••••• S•••••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 12, 2024 · Minneapolis, Mn
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 10, 2017 · Iselin, Nj
- M•• F•••••••• S•••••••• I••• formerJan 23, 2017 to Mar 25, 2017 · Iselin, Nj
- P•••• S••••••••• L•• no RAUMJan 7, 2016 to Nov 15, 2016 · White Plains, Ny
- M•• F•••••••• S•••••••• I••• formerNov 24, 2014 to Dec 18, 2015 · Hauppauge, Ny
- M•• F•••••••• S•••••••• I••• formerNov 18, 2010 to Aug 12, 2014 · Elkridge, Md
- P•••• S••••••••• L•• no RAUMFeb 17, 2009 to Oct 18, 2010 · Newark, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDNov 8, 2002 to Dec 2, 2008 · Cranston, Ri
- M•• I•••••••• S•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Jul 10, 2017, registered Jul 12, 2024 (2559 days) · Other
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Nov 15, 2016, registered Jan 23, 2017 (69 days) · Other
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Dec 18, 2015, registered Jan 7, 2016 (20 days) · Other
- P•••• S••••••••• L•• to M•• F•••••••• S•••••••• I•••left Oct 18, 2010, registered Nov 18, 2010 (31 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to P•••• S••••••••• L••left Dec 2, 2008, registered Feb 17, 2009 (77 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
- National broker-dealer RIAderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address