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.
B•••• S••••• G•••••••
- C••••••••• F•••••••• N•••••• national BD currentsince Nov 1, 2017 · Suffern, Ny
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerApr 10, 2015 to Nov 3, 2017 · Suffern, Ny
- B•• C•••••• M••••••••• I••• unclassifiedNov 12, 2003 to Nov 19, 2004
- L•• F•••••••• L•• BD affiliatedJun 6, 2002 to Apr 13, 2015 · Morristown, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to C••••••••• F•••••••• N••••••left Nov 3, 2017, registered Nov 1, 2017 (-2 days) · Other
- L•• F•••••••• L•• to B•• C•••••• M••••••••• I•••left Apr 13, 2015, registered Nov 12, 2003 (-4170 days) · Other
- B•• C•••••• M••••••••• I••• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 19, 2004, registered Apr 10, 2015 (3794 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
- 43derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address