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.
T••••• Z•••••••
- L•• F•••••••• L•• BD affiliated currentsince Feb 14, 2018 · Morristown, Nj
- I••••• F•••••••• C••••••••• formerApr 29, 2016 to Feb 14, 2018 · Morristown, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 30, 2013 to May 10, 2016 · Pluckemin, Nj
- M••••• S•••••• wirehouseOct 11, 2011 to Jan 25, 2013 · Bedminster, Nj
- R• S•••••• • C••• I••• formerSep 1, 2010 to Aug 26, 2011 · Chatham, Nj
- M•• F•••••••• S•••••••• I••• formerJul 24, 2009 to Sep 17, 2010 · Iselin, Nj
- E••••• J•••• national BDMay 1, 2008 to Jun 19, 2008 · St Louis, Mo
- I••••• F•••••••• C••••••••• to L•• F•••••••• L••left Feb 14, 2018, registered Feb 14, 2018 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I••••• F•••••••• C•••••••••left May 10, 2016, registered Apr 29, 2016 (-11 days) · Other
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jan 25, 2013, registered Apr 30, 2013 (95 days) · Wirehouse to wirehouse
- R• S•••••• • C••• I••• to M••••• S••••••left Aug 26, 2011, registered Oct 11, 2011 (46 days) · Other
- M•• F•••••••• S•••••••• I••• to R• S•••••• • C••• I•••left Sep 17, 2010, registered Sep 1, 2010 (-16 days) · Other
- E••••• J•••• to M•• F•••••••• S•••••••• I•••left Jun 19, 2008, registered Jul 24, 2009 (400 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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address