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.
M•••••• L•••••
- C••••• I••••••••• A••••••• L•• BD affiliated currentsince Jun 29, 2023 · Melville, Ny
- W•••• F•••• A••••••• wirehouseJan 23, 2018 to Oct 26, 2021 · Lake Ronkonkoma, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 10, 2014 to Dec 20, 2017 · Garden City, Ny
- T• A••••••••• I••• formerApr 8, 2014 to Dec 20, 2017 · Garden City, Ny
- T•• M••••• F••• S•••• formerDec 5, 2012 to Mar 24, 2014 · Overland Park, Ks
- C•••• I••••••••• S••••••• C•••• formerAug 21, 2008 to Apr 29, 2009 · New York, Ny
- M••••• S•••••• • C•• L•• unclassifiedMay 30, 2007 to Mar 18, 2008 · New York, Ny
- W•••• F•••• A••••••• to C••••• I••••••••• A••••••• L••left Oct 26, 2021, registered Jun 29, 2023 (611 days) · Wirehouse to affiliated broker-dealer or bank
- T• A••••••••• I••••••••• M••••••••• L•• to W•••• F•••• A•••••••left Dec 20, 2017, registered Jan 23, 2018 (34 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Dec 20, 2017, registered Apr 10, 2014 (-1350 days) · channel change inside one enterprise, not a move
- T•• M••••• F••• S•••• to T• A••••••••• I•••left Mar 24, 2014, registered Apr 8, 2014 (15 days) · Other
- C•••• I••••••••• S••••••• C•••• to T•• M••••• F••• S••••left Apr 29, 2009, registered Dec 5, 2012 (1316 days) · Other
- M••••• S•••••• • C•• L•• to C•••• I••••••••• S••••••• C••••left Mar 18, 2008, registered Aug 21, 2008 (156 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address