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.
J•••• A• F•••••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince May 28, 2024 · Goshen, Ny
- W•••• F•••• A••••••• wirehouseOct 25, 2022 to Jun 4, 2024 · New City, Ny
- O••••• I••••••••• A•••••••• I••• independent RIAMay 31, 2021 to Jan 12, 2023 · Goshen, Ny
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Jun 4, 2024, registered May 28, 2024 (-7 days) · Wirehouse to affiliated broker-dealer or bank
- O••••• I••••••••• A•••••••• I••• to W•••• F•••• A•••••••left Jan 12, 2023, registered Oct 25, 2022 (-79 days) · RIA to wirehouse
- J•••• A• F••••••••• left W•••• F•••• A••••••• for S•••••• N••••••• • C••••••• I••••••••• (registered 2024-05-28)Jun 4, 2024 · Advisor changed firm · fact
- J•••• A• F••••••••• left O••••• I••••••••• A•••••••• I••• for W•••• F•••• A••••••• (registered 2022-10-25)Jan 12, 2023 · 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
- National broker-dealer RIAderived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address