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.
- F••••• I••••••••• independent RIA currentsince Apr 12, 2024 · Tampa, Fl
- F••••••• P••••••• A•• W•••••••• A••••••• formerSep 15, 2023 to Mar 15, 2024 · Garden City, Ny
- E•••••• C•••••• M••••••••• L•• formerJul 13, 2016 to Aug 21, 2023 · Garden City, Ny
- T• A••••••••• I••••••••• M••••••••• L•• formerJan 28, 2014 to Jul 19, 2016 · New York, Ny
- T• A••••••••• I••• formerJan 28, 2014 to Jul 19, 2016 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to F••••• I•••••••••left Mar 15, 2024, registered Apr 12, 2024 (28 days) · Affiliated broker-dealer or bank to independent RIA
- E•••••• C•••••• M••••••••• L•• to F••••••• P••••••• A•• W•••••••• A•••••••left Aug 21, 2023, registered Sep 15, 2023 (25 days) · RIA to affiliated broker-dealer or bank · moved with a team
- T• A••••••••• I••••••••• M••••••••• L•• to E•••••• C•••••• M••••••••• L••left Jul 19, 2016, registered Jul 13, 2016 (-6 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Jul 19, 2016, registered Jan 28, 2014 (-903 days) · channel change inside one enterprise, not a move
- C••••• C•••• left F••••••• P••••••• A•• W•••••••• A••••••• for F••••• I••••••••• (registered 2024-04-12)Mar 15, 2024 · Advisor changed firm · fact
- C••••• C•••• left E•••••• C•••••• M••••••••• L•• for F••••••• P••••••• A•• W•••••••• A••••••• (registered 2023-09-15)Aug 21, 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
- Independent wealth managerderived
- Years in industry
- 19derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address