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•••••• L••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Nov 13, 2014 · Shrewsbury, Nj
- L•• F•••••••• L•• BD affiliatedJun 1, 2009 to Oct 28, 2014 · Toms River, Nj
- W•••• F•••• A••••••• wirehouseAug 8, 2002 to Jun 3, 2009 · Seaside Park, Nj
- L•• F•••••••• L•• to S•••••• N••••••• • C••••••• I•••••••••left Oct 28, 2014, registered Nov 13, 2014 (16 days) · Other
- W•••• F•••• A••••••• to L•• F•••••••• L••left Jun 3, 2009, registered Jun 1, 2009 (-2 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