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.
T••••• F•••••• C••••
- U•• F•••••••• S••••••• I••• wirehouse currentsince Feb 4, 2022 · Weehawken, Nj
- U•• A••••••• institutionalMay 30, 2019 to Sep 15, 2021 · Uniondale, Ny
- M• H••••••• S••••••••• I••• BD affiliatedMay 20, 2015 to May 28, 2019 · Uniondale, Ny
- U•• A••••••• to U•• F•••••••• S••••••• I•••left Sep 15, 2021, registered Feb 4, 2022 (142 days) · Other
- M• H••••••• S••••••••• I••• to U•• A•••••••left May 28, 2019, registered May 30, 2019 (2 days) · Other · moved with a team
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
- Wirehousederived
- Years in industry
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address