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.
K••••••• K•••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Nov 16, 2018 · Garden City, Ny
- M••••• S•••••• wirehouseAug 29, 2013 to Nov 16, 2018 · Great Neck, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 26, 2012 to Aug 29, 2013 · Forest Hills, Ny
- E••••• J•••• national BDSep 7, 2007 to Jun 25, 2012 · St Louis, Mo
- M••••• S•••••• to A••••••••• F•••••••• S•••••••• L••left Nov 16, 2018, registered Nov 16, 2018 (0 days) · Wirehouse to affiliated broker-dealer or bank
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Aug 29, 2013, registered Aug 29, 2013 (0 days) · Wirehouse to wirehouse
- E••••• J•••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 25, 2012, registered Jun 26, 2012 (1 days) · Affiliated broker-dealer or bank to wirehouse
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
- National broker-dealer RIAderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address