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.
G••••••• P•••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 26, 2023 · Short Hills, Nj
- H••• S••••••••• •••• I••• BD affiliatedAug 13, 2021 to May 19, 2023 · Scarsdale, Ny
- W•••• F•••• A••••••• wirehouseMay 2, 2016 to Jul 22, 2021 · Purchase, Ny
- L•• F•••••••• L•• BD affiliatedNov 20, 2015 to May 13, 2016 · Nyack, Ny
- H••• S••••••••• •••• I••• to W•••• F•••• A•••••••left May 19, 2023, registered May 26, 2023 (7 days) · Affiliated broker-dealer or bank to wirehouse
- W•••• F•••• A••••••• to H••• S••••••••• •••• I•••left Jul 22, 2021, registered Aug 13, 2021 (22 days) · Wirehouse to affiliated broker-dealer or bank
- L•• F•••••••• L•• to W•••• F•••• A•••••••left May 13, 2016, registered May 2, 2016 (-11 days) · Other · moved with a team
- G••••••• P••••••••• left H••• S••••••••• •••• I••• for W•••• F•••• A••••••• (registered 2023-05-26)May 19, 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
- Wirehousederived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address