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.
G•••••• P••••••••
- L•• E••••••••• L•• BD affiliated currentsince Dec 23, 2024 · Melville, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 12, 2022 to May 8, 2024 · Garden City, Ny
- A••••••• F•••••••• A•••••••• L•• BD affiliatedFeb 9, 2021 to Nov 14, 2022 · Great Neck, Ny
- E•••••••• A•••••••• L•• national BDJun 12, 2019 to Jul 18, 2019 · New York, Ny
- F••••••• S••••••••• I••• independent RIANov 17, 2008 to Jul 9, 2019 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• E••••••••• L••left May 8, 2024, registered Dec 23, 2024 (229 days) · Wirehouse to a newly registered adviser (no RAUM reported yet) · moved with a team
- A••••••• F•••••••• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 14, 2022, registered Dec 12, 2022 (28 days) · Affiliated broker-dealer or bank to wirehouse
- E•••••••• A•••••••• L•• to A••••••• F•••••••• A•••••••• L••left Jul 18, 2019, registered Feb 9, 2021 (572 days) · Affiliated broker-dealer or bank to another
- F••••••• S••••••••• I••• to E•••••••• A•••••••• L••left Jul 9, 2019, registered Jun 12, 2019 (-27 days) · RIA to affiliated broker-dealer or bank
- G•••••• P•••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for L•• E••••••••• L•• (registered 2024-12-23)May 8, 2024 · Advisor changed firm · fact
- G•••••• P•••••••• left A••••••• F•••••••• A•••••••• L•• for M•••••• L••••• P•••••• F••••• • S•••• I••••••••• (registered 2022-12-12)Nov 14, 2022 · 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address