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.
T••• A•••••••• L••••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Lindenhurst, Ny
- P•••• S••••••••• L•• no RAUMJun 7, 2021 to Nov 14, 2024 · Uniondale, Ny
- C• W••••• M••••••••• L•• independent RIAFeb 29, 2012 to Jul 5, 2012 · Schaumburg, Il
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseAug 23, 2011 to Feb 2, 2012 · Melville, Ny
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- C• W••••• M••••••••• L•• to P•••• S••••••••• L••left Jul 5, 2012, registered Jun 7, 2021 (3259 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C• W••••• M••••••••• L••left Feb 2, 2012, registered Feb 29, 2012 (27 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
- 16derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address