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.
A••••• J• N•••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jan 28, 2021 · New York, Ny
- H••• S••••••••• •••• I••• BD affiliatedOct 3, 2017 to Aug 13, 2020 · New York, Ny
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 31, 2017 to Apr 24, 2017 · Bloomfield, Nj
- M•• S••••••••• I••• unclassifiedMay 16, 2016 to Jan 20, 2017 · Florham Park, Nj
- S•••••••• S••••••••• BD affiliatedSep 24, 2015 to May 4, 2016 · Cedar Grove, Nj
- W•••• F•••• A••••••• wirehouseFeb 7, 2014 to Oct 7, 2014 · Cranford, Nj
- P•• W••••• M••••••••• BD affiliatedDec 19, 2011 to Jan 22, 2014 · Millburn, Nj
- H••• S••••••••• •••• I••• BD affiliatedMar 28, 2006 to Nov 7, 2011 · New York City, Ny
- C•••• I••••••••• S••••••• C•••• formerSep 7, 2004 to Mar 16, 2006 · Summit, Nj
- E•••••••• A•••••••• L•• national BDOct 3, 2002 to Sep 16, 2004 · Morristown, Nj
- H••• S••••••••• •••• I••• to C•••••••• G••••• M•••••• I•••left Aug 13, 2020, registered Jan 28, 2021 (168 days) · Affiliated broker-dealer or bank to another · moved with a team
- C••••• I••••••••• A••••••• L•• to H••• S••••••••• •••• I•••left Apr 24, 2017, registered Oct 3, 2017 (162 days) · Other
- M•• S••••••••• I••• to C••••• I••••••••• A••••••• L••left Jan 20, 2017, registered Jan 31, 2017 (11 days) · Other
- S•••••••• S••••••••• to M•• S••••••••• I•••left May 4, 2016, registered May 16, 2016 (12 days) · Other
- W•••• F•••• A••••••• to S•••••••• S•••••••••left Oct 7, 2014, registered Sep 24, 2015 (352 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Jan 22, 2014, registered Feb 7, 2014 (16 days) · Other
- H••• S••••••••• •••• I••• to P•• W••••• M•••••••••left Nov 7, 2011, registered Dec 19, 2011 (42 days) · Other
- C•••• I••••••••• S••••••• C•••• to H••• S••••••••• •••• I•••left Mar 16, 2006, registered Mar 28, 2006 (12 days) · Other
- E•••••••• A•••••••• L•• to C•••• I••••••••• S••••••• C••••left Sep 16, 2004, registered Sep 7, 2004 (-9 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 23derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address