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.
W•••••• S•••••••
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliated currentsince Jun 21, 2021 · Morristown, Nj
- H•••••• W••••• A••••••••• L•• formerAug 23, 2019 to Dec 22, 2022 · Morristown, Nj
- M••••••••• W••••• M••••••••• L•• formerFeb 13, 2019 to Dec 12, 2022 · Morristown, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Sep 20, 2017 · Morristown, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Jun 1, 2009 · Morristown, Nj
- M••••• S•••••• D• I••• unclassifiedJun 27, 2002 to Apr 2, 2007 · Morristown, Nj
- H•••••• W••••• A••••••••• L•• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Dec 22, 2022, registered Jun 21, 2021 (-549 days) · Other
- M••••••••• W••••• M••••••••• L•• to H•••••• W••••• A••••••••• L••left Dec 12, 2022, registered Aug 23, 2019 (-1207 days) · Other
- M••••• S•••••• to M••••••••• W••••• M••••••••• L••left Sep 20, 2017, registered Feb 13, 2019 (511 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- M••••• S•••••• • C•• L•• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
- W•••••• S••••••• left H•••••• W••••• A••••••••• L•• for R•••••• J•••• F•••••••• S••••••• A•••••••• I•• (registered 2021-06-21)Dec 22, 2022 · Advisor changed firm · fact
- W•••••• S••••••• left M••••••••• W••••• M••••••••• L•• for H•••••• W••••• A••••••••• L•• (registered 2019-08-23)Dec 12, 2022 · Advisor changed firm · fact
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