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•••• G••••• W••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 14, 2022 · Long Beach, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• formerDec 3, 2018 to Oct 18, 2022 · Scarsdale, Ny
- G•••••••• W••••• P••••••• BD affiliatedAug 30, 2016 to Sep 29, 2017 · New York, Ny
- J••• M••••• S••••••••• L•• wirehouseJun 2, 2014 to Sep 7, 2016 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 3, 2011 to May 27, 2014 · Forest Hills, Ny
- M••••• S•••••• wirehouseApr 12, 2010 to Oct 14, 2011 · Garden City, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to L•• F•••••••• L••left Oct 18, 2022, registered Nov 14, 2022 (27 days) · Affiliated broker-dealer or bank to independent RIA
- G•••••••• W••••• P••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Sep 29, 2017, registered Dec 3, 2018 (430 days) · Other
- J••• M••••• S••••••••• L•• to G•••••••• W••••• P•••••••left Sep 7, 2016, registered Aug 30, 2016 (-8 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to J••• M••••• S••••••••• L••left May 27, 2014, registered Jun 2, 2014 (6 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 14, 2011, registered Oct 3, 2011 (-11 days) · Wirehouse to wirehouse
- K•••• G••••• W•••• left F••••••• P••••••• A•• W•••••••• A••••••• for L•• F•••••••• L•• (registered 2022-11-14)Oct 18, 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
- 18derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address