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.
J••• R••• F•••••
- B••••• P••••• A•••••••• L•• independent RIA currentsince Oct 16, 2023 · Roseland, Nj
- O••••••• B•• W••••• P••••••• independent RIAJun 27, 2022 to Oct 9, 2023 · Parsippany, Nj
- P•••••• A•••••• G••••• L•• BD affiliatedDec 19, 2014 to Jul 20, 2022 · Fairfield, Nj
- N••••••••• M••••• I••••••••• S••••••••• no RAUMJun 7, 2007 to Feb 26, 2015 · Fairfield, Nj
- N••••••••• M••••• W••••• M••••••••• C•••••• unclassifiedJun 2, 2003 to Apr 30, 2007 · Milwaukee, Wi
- O••••••• B•• W••••• P••••••• to B••••• P••••• A•••••••• L••left Oct 9, 2023, registered Oct 16, 2023 (7 days) · RIA to RIA · moved with a team
- P•••••• A•••••• G••••• L•• to O••••••• B•• W••••• P•••••••left Jul 20, 2022, registered Jun 27, 2022 (-23 days) · corporate re-registration, not a move
- N••••••••• M••••• I••••••••• S••••••••• to P•••••• A•••••• G••••• L••left Feb 26, 2015, registered Dec 19, 2014 (-69 days) · Other · moved with a team
- N••••••••• M••••• W••••• M••••••••• C•••••• to N••••••••• M••••• I••••••••• S•••••••••left Apr 30, 2007, registered Jun 7, 2007 (38 days) · corporate re-registration, not a move
- J••• R••• F••••• left O••••••• B•• W••••• P••••••• for B••••• P••••• A•••••••• L•• (registered 2023-10-16)Oct 9, 2023 · a•••••• firm change · 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
- Independent wealth managerderived
- Years in industry
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address