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••• I••••••• S•••••••••
- W•••• F•••• A••••••• wirehouse currentsince Sep 29, 2022 · East Rockaway , Ny
- U•• F•••••••• S••••••• I••• wirehouseJan 7, 2014 to Oct 10, 2022 · Garden City, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 2, 2009 to Jan 8, 2014 · New York, Ny
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 20, 2009 · New York, Ny
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 16, 2007 to Jun 1, 2009 · New York, Ny
- C•••• I••••••••• S••••••• C•••• formerJun 15, 2006 to Jan 31, 2007 · New York, Ny
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Oct 10, 2022, registered Sep 29, 2022 (-11 days) · Wirehouse to wirehouse
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U•• F•••••••• S••••••• I•••left Jan 8, 2014, registered Jan 7, 2014 (-1 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 20, 2009, registered Oct 2, 2009 (-18 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to C•••••••• G••••• M•••••• I•••left Jan 31, 2007, registered Mar 16, 2007 (44 days) · Other
- S••• I••••••• S••••••••• left U•• F•••••••• S••••••• I••• for W•••• F•••• A••••••• (registered 2022-09-29)Oct 10, 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
- Wirehousederived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address