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.
I•••• T••••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Nov 20, 2019 · Fort Lee, Nj
- S•••••••• S••••••••• BD affiliatedJul 31, 2015 to Nov 15, 2019 · Short Hills, Nj
- L•• F•••••••• L•• BD affiliatedAug 28, 2008 to Jul 22, 2015 · Roseland, Nj
- E•••• N••••••• S••••••••• I••• formerOct 11, 2006 to Sep 2, 2008 · Garden City, Ny
- C•••• I••••••••• S••••••• C•••• formerJan 12, 2005 to Oct 6, 2006 · West Caldwell, Nj
- S•••••••• S••••••••• to C•••••••• G••••• M•••••• I•••left Nov 15, 2019, registered Nov 20, 2019 (5 days) · Affiliated broker-dealer or bank to another
- L•• F•••••••• L•• to S•••••••• S•••••••••left Jul 22, 2015, registered Jul 31, 2015 (9 days) · Other
- E•••• N••••••• S••••••••• I••• to L•• F•••••••• L••left Sep 2, 2008, registered Aug 28, 2008 (-5 days) · Other
- C•••• I••••••••• S••••••• C•••• to E•••• N••••••• S••••••••• I•••left Oct 6, 2006, registered Oct 11, 2006 (5 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address