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.
L•••• L••••• B••••
- T•• P••••••• F•••••••• G•••• independent RIA currentsince Aug 16, 2021 · Melville, Ny
- W•••• F•••• A••••••• wirehouseNov 16, 2012 to Dec 14, 2020 · Fairfield, Nj
- P•••••• A•••••• G••••• L•• BD affiliatedAug 23, 2012 to Nov 19, 2012 · Woodcliff Lake, Nj
- L•• F•••••••• L•• BD affiliatedJun 7, 2002 to Nov 29, 2012 · Woodcliff Lake, Nj
- W•••• F•••• A••••••• to T•• P••••••• F•••••••• G••••left Dec 14, 2020, registered Aug 16, 2021 (245 days) · Wirehouse to independent RIA
- L•• F•••••••• L•• to P•••••• A•••••• G••••• L••left Nov 29, 2012, registered Aug 23, 2012 (-98 days) · Other
- P•••••• A•••••• G••••• L•• to W•••• F•••• A•••••••left Nov 19, 2012, registered Nov 16, 2012 (-3 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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address