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••••• P•••••• F•••
- J• W• C••• A•••••••• I••• BD affiliated currentsince Apr 29, 2021 · New Providence, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedSep 24, 2020 to May 4, 2021 · Chatham, Nj
- F•• W••••• M••••••••• L•• formerJun 20, 2016 to Dec 31, 2020 · Chatham, Nj
- F•• W••••• M••••••••• L•• formerJan 21, 2011 to Mar 23, 2016 · Chatham, Nj
- S••••••• F•••••••• S•••••••• I••• formerJun 2, 2004 to Dec 4, 2009 · Parsippany, Nj
- L•••••• F••• F•••••••• unclassifiedJun 16, 2003 to Jun 6, 2005 · East Hanover , Nj
- W• G••••••• S••••••••• I••• unclassifiedJun 20, 2002 to Jun 16, 2004 · E Hanover, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• to J• W• C••• A•••••••• I•••left May 4, 2021, registered Apr 29, 2021 (-5 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- F•• W••••• M••••••••• L•• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Dec 31, 2020, registered Sep 24, 2020 (-98 days) · RIA to affiliated broker-dealer or bank · moved with a team
- F•• W••••• M••••••••• L•• to F•• W••••• M••••••••• L••left Mar 23, 2016, registered Jun 20, 2016 (89 days) · channel change inside one enterprise, not a move · moved with a team
- S••••••• F•••••••• S•••••••• I••• to F•• W••••• M••••••••• L••left Dec 4, 2009, registered Jan 21, 2011 (413 days) · Other
- L•••••• F••• F•••••••• to S••••••• F•••••••• S•••••••• I•••left Jun 6, 2005, registered Jun 2, 2004 (-369 days) · Other
- W• G••••••• S••••••••• I••• to L•••••• F••• F••••••••left Jun 16, 2004, registered Jun 16, 2003 (-366 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
- 40derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address