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•••••• C••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Nov 12, 2020 · Englewood, Nj
- H••• S••••••••• •••• I••• BD affiliatedApr 16, 2018 to Jun 5, 2020 · Brooklyn, Ny
- H••• S••••••••• •••• I••• BD affiliatedMay 7, 2014 to Nov 15, 2017 · Staten Island, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseMar 6, 2013 to May 1, 2014 · Pennington, Nj
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Jun 5, 2020, registered Nov 12, 2020 (160 days) · Affiliated broker-dealer or bank to another · moved with a team
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to H••• S••••••••• •••• I•••left May 1, 2014, registered May 7, 2014 (6 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
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address