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.
J••• G• B•••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 10, 2017 · Saddle Brook, Nj
- U•• F•••••••• S••••••• I••• wirehouseJul 13, 2006 to Mar 21, 2017 · Paramus, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 8, 2002 to Jul 21, 2006 · Paramus, Nj
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Mar 21, 2017, registered Mar 10, 2017 (-11 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- C•••••••• G••••• M•••••• I••• to U•• F•••••••• S••••••• I•••left Jul 21, 2006, registered Jul 13, 2006 (-8 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
- 42derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address