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.
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- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Apr 1, 2021 · Oakhurst, Nj
- S••••• F•••••••• G•••• I•• formerJun 14, 2019 to Apr 8, 2021 · Oakhurst, Nj
- W•••• F•••• A••••••• wirehouseJun 1, 2012 to Jun 18, 2019 · Oakhurst, Nj
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJan 12, 2009 to Jun 1, 2012 · Oakhurst, Nj
- G••••• F•••••••• S•••••••• I••• unclassifiedApr 3, 2006 to Nov 28, 2006 · Oakhurst, Nj
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJul 12, 2004 to Jan 12, 2009 · Oakhurst, Nj
- S••••• F•••••••• G•••• I•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Apr 8, 2021, registered Apr 1, 2021 (-7 days) · Affiliated broker-dealer or bank to another · moved with a team
- W•••• F•••• A••••••• to S••••• F•••••••• G•••• I••left Jun 18, 2019, registered Jun 14, 2019 (-4 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to W•••• F•••• A•••••••left Jun 1, 2012, registered Jun 1, 2012 (0 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to G••••• F•••••••• S•••••••• I•••left Jan 12, 2009, registered Apr 3, 2006 (-1015 days) · Other
- G••••• F•••••••• S•••••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Nov 28, 2006, registered Jan 12, 2009 (776 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address