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.
C•• M••
- T• P•••••• C••••• W••••• L•• BD affiliated currentsince Jun 28, 2023 · Flushing, Ny
- O•••• I••••••••• I••• BD affiliatedOct 5, 2018 to Jun 23, 2023 · Jamaica, Ny
- J••• M••••• S••••••••• L•• wirehouseSep 1, 2016 to Oct 12, 2018 · Flushing, Ny
- O•••• I••••••••• I••• BD affiliatedJul 1, 2016 to Aug 15, 2016 · Flushing, Ny
- E•••• N••••••• S••••••••• I••• formerApr 26, 2010 to Jul 1, 2016 · Flushing, Ny
- E•••• N••••••• S••••••••• I••• formerApr 13, 2009 to Apr 26, 2010 · Flushing, Ny
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedNov 21, 2007 to Mar 26, 2009 · Forest Hills, Ny
- O•••• I••••••••• I••• to T• P•••••• C••••• W••••• L••left Jun 23, 2023, registered Jun 28, 2023 (5 days) · Affiliated broker-dealer or bank to another
- J••• M••••• S••••••••• L•• to O•••• I••••••••• I•••left Oct 12, 2018, registered Oct 5, 2018 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- O•••• I••••••••• I••• to J••• M••••• S••••••••• L••left Aug 15, 2016, registered Sep 1, 2016 (17 days) · Other
- E•••• N••••••• S••••••••• I••• to O•••• I••••••••• I•••left Jul 1, 2016, registered Jul 1, 2016 (0 days) · corporate re-registration, not a move
- B••• O• A•••••• I••••••••• S•••••••• I••• to E•••• N••••••• S••••••••• I•••left Mar 26, 2009, registered Apr 13, 2009 (18 days) · Other
- C•• M•• left O•••• I••••••••• I••• for T• P•••••• C••••• W••••• L•• (registered 2023-06-28)Jun 23, 2023 · 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
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address