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.
G••••• J••••• C•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 17, 2023 · Mahwah, Nj
- S••••••• F•••••••• S•••••••• I••• formerJun 13, 2014 to Mar 14, 2023 · Parsippany, Nj
- N•• E•••••• S••••••••• C••••••••• formerJun 21, 2002 to Jun 23, 2014 · Elmsford, Ny
- S••••••• F•••••••• S•••••••• I••• to L•• F•••••••• L••left Mar 14, 2023, registered Mar 17, 2023 (3 days) · RIA to affiliated broker-dealer or bank
- N•• E•••••• S••••••••• C••••••••• to S••••••• F•••••••• S•••••••• I•••left Jun 23, 2014, registered Jun 13, 2014 (-10 days) · Other
- G••••• J••••• C••••••••• left S••••••• F•••••••• S•••••••• I••• for L•• F•••••••• L•• (registered 2023-03-17)Mar 14, 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address