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.
A•••• L••••••
- R•• R•••••••• L•• BD affiliated currentsince Apr 13, 2021 · New York, Ny
- P••• A••••• S••••••••• L•• BD affiliatedApr 13, 2015 to Apr 29, 2021 · New York, Ny
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedJan 4, 2012 to Nov 22, 2013 · Melville, Ny
- P••• A••••• S••••••••• L•• to R•• R•••••••• L••left Apr 29, 2021, registered Apr 13, 2021 (-16 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• F•••••••• A••••••• L•• to P••• A••••• S••••••••• L••left Nov 22, 2013, registered Apr 13, 2015 (507 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 17derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address