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.
G••••••• M• D••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 22, 2022 · Poughkeepsie, Ny
- L•• F•••••••• L•• BD affiliatedJun 1, 2020 to Aug 11, 2021 · White Plains, Ny
- M•• S••••••••• I••• unclassifiedOct 28, 2016 to Mar 20, 2020 · Carmel, Ny
- O••••••••• • C•• I••• BD affiliatedSep 5, 2013 to Oct 27, 2016 · Fishkill, Ny
- E•••••••• A•••••••• L•• national BDFeb 1, 2011 to Sep 4, 2013 · Newburgh, Ny
- M•• S••••••••• I••• to L•• F•••••••• L••left Mar 20, 2020, registered Jun 1, 2020 (73 days) · Other
- O••••••••• • C•• I••• to M•• S••••••••• I•••left Oct 27, 2016, registered Oct 28, 2016 (1 days) · Other
- E•••••••• A•••••••• L•• to O••••••••• • C•• I•••left Sep 4, 2013, registered Sep 5, 2013 (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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 15derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address