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•••• K•••• S••••••••
- K••••• A••••••• S•••••••• L•• BD affiliated currentsince Apr 20, 2016 · S•••••, Nj
- S•••••••• W••••• M••••••••• G••••• L•• unclassifiedNov 10, 2008 to Dec 31, 2009 · S•••••, Nj
- S••••• F•••••••• R•••••••• I•• formerJun 6, 2002 to Sep 3, 2008 · Parsippany, Nj
- S••••• E••••••• I•• formerMay 23, 2002 to Sep 3, 2008 · Parsippany, Nj
- S•••••••• W••••• M••••••••• G••••• L•• to K••••• A••••••• S•••••••• L••left Dec 31, 2009, registered Apr 20, 2016 (2302 days) · Other
- S••••• F•••••••• R•••••••• I•• to S•••••••• W••••• M••••••••• G••••• L••left Sep 3, 2008, registered Nov 10, 2008 (68 days) · Other
- S••••• E••••••• I•• to S••••• F•••••••• R•••••••• I••left Sep 3, 2008, registered Jun 6, 2002 (-2281 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
- 26derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address