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.
S•••• R••• C•••
- R•••••• J•••• • A••••••••• I••• national BD currentsince Jun 14, 2021 · Garden City, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedNov 10, 2011 to Dec 31, 2014 · Garden City, Ny
- J••••• M••••••••• S•••• L•• BD affiliatedAug 10, 2006 to Aug 2, 2010 · Great Neck, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to R•••••• J•••• • A••••••••• I•••left Dec 31, 2014, registered Jun 14, 2021 (2357 days) · Other
- J••••• M••••••••• S•••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Aug 2, 2010, registered Nov 10, 2011 (465 days) · Other
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
- National broker-dealer RIAderived
- Years in industry
- 44derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address