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•••• L•••••
- A•••• I••••• M••••••••• L•• state registered currentsince Dec 6, 2023 · Hawthorne, Ny
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Jun 7, 2023 · Morristown, Nj
- M•• I•••••••• S•••••••• L•• BD affiliatedAug 10, 2021 to Jun 12, 2023 · Elmsford, Ny
- E•••••••• A•••••••• L•• national BDFeb 22, 2018 to Mar 15, 2019 · Stamford, Ct
- M•• I•••••••• S•••••••• L•• to P•••••• A•••••• G••••• L••left Jun 12, 2023, registered Jun 7, 2023 (-5 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to M•• I•••••••• S•••••••• L••left Mar 15, 2019, registered Aug 10, 2021 (879 days) · Affiliated broker-dealer or bank to another
- J•••• L••••• left M•• I•••••••• S•••••••• L•• for P•••••• A•••••• G••••• L•• (registered 2023-06-07)Jun 12, 2023 · a•••••• firm change · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 20derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address