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.
J•••• A•••••• L•••••
- C••••••• S••••••••• I••• BD affiliated currentsince May 24, 2022 · Albany, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 5, 2019 to May 22, 2022 · Melville, Ny
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to May 2, 2018 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 30, 2013 to Jan 28, 2015 · Melville, Ny
- J••• M••••• S••••••••• L•• wirehouseOct 1, 2012 to Jan 28, 2013 · Melville, Ny
- C•••• I••••••••• S••••••• C•••• formerJul 22, 2011 to Oct 1, 2012 · South Lindenhurst, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C••••••• S••••••••• I•••left May 22, 2022, registered May 24, 2022 (2 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••• O•• A•••••••• L•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left May 2, 2018, registered Aug 5, 2019 (460 days) · Affiliated broker-dealer or bank to wirehouse
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- J••• M••••• S••••••••• L•• to C•••••• O•• F•••••••• A••••••• L••left Jan 28, 2013, registered Jan 30, 2013 (2 days) · Other
- C•••• I••••••••• S••••••• C•••• to J••• M••••• S••••••••• L••left Oct 1, 2012, registered Oct 1, 2012 (0 days) · corporate re-registration, not a move
- J•••• A•••••• L••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for C••••••• S••••••••• I••• (registered 2022-05-24)May 22, 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
- 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