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.
D••• D•••• P•••••
- L•• E••••••••• L•• BD affiliated currentsince Nov 14, 2024 · Coram, Ny
- P•••• S••••••••• L•• no RAUMMay 12, 2022 to Nov 14, 2024 · Great Neck, Ny
- C•••••• A••••••• S•••••••• I•• independent RIAMar 6, 2022 to May 9, 2022 · Staten Island, Ny
- P•••• S••••••••• L•• to L•• E••••••••• L••left Nov 14, 2024, registered Nov 14, 2024 (0 days) · corporate re-registration, not a move
- C•••••• A••••••• S•••••••• I•• to P•••• S••••••••• L••left May 9, 2022, registered May 12, 2022 (3 days) · RIA to affiliated broker-dealer or bank
- D••• D•••• P••••• left C•••••• A••••••• S•••••••• I•• for P•••• S••••••••• L•• (registered 2022-05-12)May 9, 2022 · 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
- 11derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address