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.
D•••• M•••• S•••••
- W•••• F•••• A••••••• wirehouse currentsince Aug 31, 2015 · Red Bank, Nj
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Aug 7, 2015 · Freehold, Nj
- L•• F•••••••• L•• BD affiliatedAug 27, 2012 to Sep 19, 2012 · Boston, Ma
- P•• W••••• M••••••••• BD affiliatedFeb 13, 2012 to Jun 29, 2012 · Brick Township, Nj
- S••••••• F•••••••• S•••••••• I••• formerNov 30, 2005 to Feb 1, 2012 · Neptune, Nj
- S•••••••• S••••••••• to W•••• F•••• A•••••••left Aug 7, 2015, registered Aug 31, 2015 (24 days) · Other
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to L•• F•••••••• L••left Jun 29, 2012, registered Aug 27, 2012 (59 days) · Other
- S••••••• F•••••••• S•••••••• I••• to P•• W••••• M•••••••••left Feb 1, 2012, registered Feb 13, 2012 (12 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
- Wirehousederived
- Years in industry
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address