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.
R•••••• F••••• S•••••
- P•••••• A•••••• G••••• L•• BD affiliated currentsince Nov 12, 2014 · Florham Park, Nj
- S••••• F•••••••• R•••••••• I•• formerNov 19, 2004 to Nov 10, 2014 · Parsippany, Nj
- S••••• E••••••• I•• formerNov 19, 2004 to Nov 10, 2014 · Parsippany, Nj
- C•••• I••••••••• S••••••• C•••• formerDec 4, 2003 to Nov 19, 2004 · New York, Ny
- S••••• F•••••••• R•••••••• I•• to P•••••• A•••••• G••••• L••left Nov 10, 2014, registered Nov 12, 2014 (2 days) · Other
- S••••• E••••••• I•• to S••••• F•••••••• R•••••••• I••left Nov 10, 2014, registered Nov 19, 2004 (-3643 days) · Other
- C•••• I••••••••• S••••••• C•••• to S••••• E••••••• I••left Nov 19, 2004, registered Nov 19, 2004 (0 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address