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.
S••••• M•••• M•••• G•••••••••
- M••••• S•••••• wirehouse currentsince Jul 28, 2023 · Toms River, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 3, 2010 to Jul 31, 2023 · Toms River, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Dec 16, 2010 · Shrewsbury, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedAug 18, 2003 to Jun 1, 2009 · Shrewsbury, Nj
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Aug 18, 2003 · Red Bank, Nj
- P••••••••• E••••• G••••• L•• unclassifiedMay 23, 2002 to Jul 1, 2003 · Red Bank, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jul 31, 2023, registered Jul 28, 2023 (-3 days) · Wirehouse to wirehouse
- M••••• S•••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Dec 16, 2010, registered Dec 3, 2010 (-13 days) · Wirehouse to wirehouse
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- W•••• F•••• A••••••• to C•••••••• G••••• M•••••• I•••left Aug 18, 2003, registered Aug 18, 2003 (0 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (0 days) · corporate re-registration, not a move
- S••••• M•••• M•••• G••••••••• left M•••••• L••••• P•••••• F••••• • S•••• I••••••••• for M••••• S•••••• (registered 2023-07-28)Jul 31, 2023 · 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
- Wirehousederived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address