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.
P••••• F•••••• A••••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 21, 2019 · Red Bank, Nj
- C•••••• S••••••••• M••••••••• I••• independent RIAAug 31, 2015 to Aug 13, 2019 · Red Bank, Nj
- O••••••••• • C•• I••• BD affiliatedNov 9, 2011 to Sep 10, 2015 · Red Bank, Nj
- W•••• F•••• A••••••• wirehouseMar 31, 2006 to Nov 3, 2011 · Red Bank, Nj
- M••••• S•••••• D• I••• unclassifiedJun 20, 2002 to Apr 3, 2006 · Red Bank, Nj
- C•••••• S••••••••• M••••••••• I••• to L•• F•••••••• L••left Aug 13, 2019, registered Aug 21, 2019 (8 days) · RIA to affiliated broker-dealer or bank
- O••••••••• • C•• I••• to C•••••• S••••••••• M••••••••• I•••left Sep 10, 2015, registered Aug 31, 2015 (-10 days) · Other
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Nov 3, 2011, registered Nov 9, 2011 (6 days) · Other
- M••••• S•••••• D• I••• to W•••• F•••• A•••••••left Apr 3, 2006, registered Mar 31, 2006 (-3 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address