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.
- W•••• F•••• A••••••• wirehouse currentsince Dec 10, 2024 · Melville, Ny
- W•••• F•••• A••••••• wirehouseApr 24, 2014 to Dec 10, 2024 · Melville, Ny
- O••••••••• • C•• I••• BD affiliatedJul 23, 2012 to May 1, 2014 · New York, Ny
- N••• F•••••••• G••••• I••• formerApr 2, 2012 to Jul 16, 2012 · Great Neck, Ny
- O••••••••• • C•• I••• BD affiliatedJan 8, 2010 to Apr 3, 2012 · Hauppauge, Ny
- W•••• F•••• A••••••• to W•••• F•••• A•••••••left Dec 10, 2024, registered Dec 10, 2024 (0 days) · channel change inside one enterprise, not a move
- O••••••••• • C•• I••• to W•••• F•••• A•••••••left May 1, 2014, registered Apr 24, 2014 (-7 days) · Other
- N••• F•••••••• G••••• I••• to O••••••••• • C•• I•••left Jul 16, 2012, registered Jul 23, 2012 (7 days) · Other
- O••••••••• • C•• I••• to N••• F•••••••• G••••• I•••left Apr 3, 2012, registered Apr 2, 2012 (-1 days) · Other
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
- Wirehousederived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address