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•••••• N•••• P•
- E•• F•••••••• A••••••• independent RIA currentsince Oct 13, 2021 · Melville, Ny
- A••••••• A••••••• S••••••• formerApr 20, 2017 to Oct 29, 2021 · Lincoln, Ne
- E•••••••• A•••••••• L•• national BDFeb 6, 2014 to Mar 1, 2017 · Melville, Ny
- W•• S••••••••• L•• state registeredJan 23, 2012 to Dec 31, 2013 · East Northport, Ny
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 2, 2009 to Sep 13, 2010 · New York, Ny
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedApr 11, 2008 to Nov 30, 2009 · Orlando, Fl
- U•• F•••••••• S••••••• I••• wirehouseJul 26, 2005 to Apr 21, 2008 · Winter Park, Fl
- C•••••••• G••••• M•••••• I••• BD affiliatedJul 31, 1993 to Aug 5, 2005 · Orlando, Fl
- A••••••• A••••••• S••••••• to E•• F•••••••• A•••••••left Oct 29, 2021, registered Oct 13, 2021 (-16 days) · Affiliated broker-dealer or bank to another
- E•••••••• A•••••••• L•• to A••••••• A••••••• S•••••••left Mar 1, 2017, registered Apr 20, 2017 (50 days) · Other
- W•• S••••••••• L•• to E•••••••• A•••••••• L••left Dec 31, 2013, registered Feb 6, 2014 (37 days) · Other
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•• S••••••••• L••left Sep 13, 2010, registered Jan 23, 2012 (497 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 30, 2009, registered Jan 2, 2009 (-332 days) · Other
- U•• F•••••••• S••••••• I••• to R•••••• J•••• F•••••••• S•••••••• I•••left Apr 21, 2008, registered Apr 11, 2008 (-10 days) · Other
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Aug 5, 2005, registered Jul 26, 2005 (-10 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
- Independent wealth managerderived
- Years in industry
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address