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.
N••••••• G• M••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 12, 2021 · Florham Park, Nj
- R•• C•••••• M••••••• L•• national BDSep 16, 2014 to Nov 12, 2021 · Florham Park, Nj
- W•••• F•••• A••••••• wirehouseAug 8, 2008 to Sep 18, 2014 · Wayne, Nj
- U•• F•••••••• S••••••• I••• wirehouseAug 2, 2006 to Aug 22, 2008 · Florham Park, Nj
- R•• C•••••• M••••••• L•• to L•• F•••••••• L••left Nov 12, 2021, registered Nov 12, 2021 (0 days) · Affiliated broker-dealer or bank to another
- W•••• F•••• A••••••• to R•• C•••••• M••••••• L••left Sep 18, 2014, registered Sep 16, 2014 (-2 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 22, 2008, registered Aug 8, 2008 (-14 days) · Wirehouse to wirehouse
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