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•••• T•••••••
- B•••••• W•••••• L•• state registered currentsince Nov 7, 2024 · Sarasota, Fl
- F•••• independent RIANov 23, 2020 to Oct 22, 2024 · Mineola, Ny
- A••••• A•• P••••••• S••••••• BD affiliatedJan 7, 2019 to Nov 13, 2020 · New York, Ny
- F•••• to B•••••• W•••••• L••left Oct 22, 2024, registered Nov 7, 2024 (16 days) · RIA to a state-registered adviser
- A••••• A•• P••••••• S••••••• to F••••left Nov 13, 2020, registered Nov 23, 2020 (10 days) · Affiliated broker-dealer or bank to independent RIA
- F•••• T••••••• left Facet for B•••••• W•••••• L•• (registered 2024-11-07)Oct 22, 2024 · 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
- STATE REGISTEREDderived
- Years in industry
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address