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.
N••••• C•••••
- N•• Y••• L••• I••••••••• M••••••••• L•• asset manager currentsince Oct 27, 2022 · Oceanside, Ny
- E•••• S••••••••• L•• BD affiliatedMar 28, 2022 to Mar 29, 2023 · Melville, Ny
- E•••• S••••••••• L•• to N•• Y••• L••• I••••••••• M••••••••• L••left Mar 29, 2023, registered Oct 27, 2022 (-153 days) · Other
- N••••• C••••• left E•••• S••••••••• L•• for N•• Y••• L••• I••••••••• M••••••••• L•• (registered 2022-10-27)Mar 29, 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 14derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address