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.
I•• S••••• C•••
- C••••• F•••••••• independent RIA currentsince Mar 2, 2022 · New York, Ny
- U•••• A••••••• L•• otherApr 16, 2019 to Oct 13, 2022 · New York, Ny
- P••••••• C•••••• A••••••• C••••••••• formerMar 13, 2017 to Jan 28, 2019 · Hawthorne, Ny
- H••• S••••••••• •••• I••• BD affiliatedMay 16, 2014 to Mar 16, 2017 · New York, Ny
- E•• I••••••••• A•••••• C••••••••• unclassifiedJun 25, 2010 to Sep 22, 2011 · New York, Ny
- B• R•••• W••••• A•••••••• I••• BD affiliatedMar 4, 2008 to Sep 2, 2008 · New York, Ny
- G•••••••• F••••••••• I•• unclassifiedSep 21, 2006 to Aug 14, 2007 · Westbury, Ny
- U•••• A••••••• L•• to C••••• F••••••••left Oct 13, 2022, registered Mar 2, 2022 (-225 days) · RIA to RIA · moved with a team
- P••••••• C•••••• A••••••• C••••••••• to U•••• A••••••• L••left Jan 28, 2019, registered Apr 16, 2019 (78 days) · RIA to RIA
- H••• S••••••••• •••• I••• to P••••••• C•••••• A••••••• C•••••••••left Mar 16, 2017, registered Mar 13, 2017 (-3 days) · Other
- E•• I••••••••• A•••••• C••••••••• to H••• S••••••••• •••• I•••left Sep 22, 2011, registered May 16, 2014 (967 days) · Other
- B• R•••• W••••• A•••••••• I••• to E•• I••••••••• A•••••• C•••••••••left Sep 2, 2008, registered Jun 25, 2010 (661 days) · Other
- G•••••••• F••••••••• I•• to B• R•••• W••••• A•••••••• I•••left Aug 14, 2007, registered Mar 4, 2008 (203 days) · Other
- I•• S••••• C••• left U•••• A••••••• L•• for C••••• F•••••••• (registered 2022-03-02)Oct 13, 2022 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address