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.
C•••••••• F••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Dec 12, 2011 · Upper Montclair, Nj
- C•••• I••••••••• S••••••• C•••• formerMar 3, 2009 to Nov 17, 2011 · Upper Montclair, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJun 23, 2006 to Feb 17, 2009 · Short Hills, Nj
- S••••• F•••••••• R•••••••• I•• formerApr 21, 2005 to Jun 16, 2006 · Parsippany, Nj
- S••••• E••••••• I•• formerApr 21, 2005 to Jun 16, 2006 · Parsippany, Nj
- C•••• I••••••••• S••••••• C•••• to A••••••••• F•••••••• S•••••••• L••left Nov 17, 2011, registered Dec 12, 2011 (25 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to C•••• I••••••••• S••••••• C••••left Feb 17, 2009, registered Mar 3, 2009 (14 days) · Other
- S••••• F•••••••• R•••••••• I•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 16, 2006, registered Jun 23, 2006 (7 days) · Other
- S••••• E••••••• I•• to S••••• F•••••••• R•••••••• I••left Jun 16, 2006, registered Apr 21, 2005 (-421 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
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address