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.
C••••• C••••••••• S••••
- L•• E••••••••• L•• BD affiliated currentsince Jan 2, 2025 · New York, Ny
- M•• I•••••••• S•••••••• L•• BD affiliatedMay 18, 2022 to Dec 19, 2024 · New York, Ny
- E•• F•••••••• A••••••• independent RIAMar 25, 2020 to Dec 3, 2021 · White Plains, Ny
- M•• I•••••••• S•••••••• L•• to L•• E••••••••• L••left Dec 19, 2024, registered Jan 2, 2025 (14 days) · Affiliated broker-dealer or bank to a newly registered adviser
- E•• F•••••••• A••••••• to M•• I•••••••• S•••••••• L••left Dec 3, 2021, registered May 18, 2022 (166 days) · Affiliated broker-dealer or bank to another
- C••••• C••••••••• S•••• left M•• I•••••••• S•••••••• L•• for L•• E••••••••• L•• (registered 2025-01-02)Dec 19, 2024 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 10derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address