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.
Z•••••• W•••• B••••
- L•••••• F•••••••• independent RIA currentsince May 6, 2022 · New York, Ny
- A••••••• A••••••• S•••••••• L•• BD affiliatedNov 1, 2021 to May 20, 2022 · New York, Ny
- A••••••• A••••••• S••••••• formerMay 15, 2021 to Nov 1, 2021 · Freeport, Ny
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJul 31, 2020 to Apr 16, 2021 · Melville, Ny
- P•••• S••••••••• L•• no RAUMMay 9, 2016 to Jul 16, 2020 · White Plains, Ny
- M•• F•••••••• S•••••••• I••• formerJan 8, 2014 to Apr 22, 2016 · Shelton, Ct
- E•••••••• A•••••••• L•• national BDJan 18, 2013 to Aug 30, 2013 · Madison, Ct
- A••••••• A••••••• S•••••••• L•• to L•••••• F••••••••left May 20, 2022, registered May 6, 2022 (-14 days) · Affiliated broker-dealer or bank to a newly registered adviser
- A••••••• A••••••• S••••••• to A••••••• A••••••• S•••••••• L••left Nov 1, 2021, registered Nov 1, 2021 (0 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to A••••••• A••••••• S•••••••left Apr 16, 2021, registered May 15, 2021 (29 days) · Other
- P•••• S••••••••• L•• to N••••••••• M••••• I••••••••• S•••••••••left Jul 16, 2020, registered Jul 31, 2020 (15 days) · Other
- M•• F•••••••• S•••••••• I••• to P•••• S••••••••• L••left Apr 22, 2016, registered May 9, 2016 (17 days) · Other
- E•••••••• A•••••••• L•• to M•• F•••••••• S•••••••• I•••left Aug 30, 2013, registered Jan 8, 2014 (131 days) · Other
- Z•••••• W•••• B•••• left A••••••• A••••••• S•••••••• L•• for L•••••• F•••••••• (registered 2022-05-06)May 20, 2022 · 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
- Independent wealth managerderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address