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.
P•••• M• F••••••••
- A••••••• W•••••• L•• independent RIA currentsince Sep 11, 2020 · South Jordan, Ut
- F•• S••••••••• C••••••••• formerMay 3, 2016 to Sep 2, 2020 · New City, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to May 10, 2016 · Congers, Ny
- C•••• I••••••••• S••••••• C•••• formerMay 2, 2008 to Oct 1, 2012 · Pomona, Ny
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Mar 4, 2008 · Pearl River, Ny
- M••••• S•••••• D• I••• unclassifiedFeb 28, 2007 to Apr 2, 2007 · Pearl River, Ny
- F•• S••••••••• C••••••••• to A••••••• W•••••• L••left Sep 2, 2020, registered Sep 11, 2020 (9 days) · Affiliated broker-dealer or bank to independent RIA
- J••• M••••• S••••••••• L•• to F•• S••••••••• C•••••••••left May 10, 2016, registered May 3, 2016 (-7 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to C•••• I••••••••• S••••••• C••••left Mar 4, 2008, registered May 2, 2008 (59 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address