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.
M••• S•••••••• E•••
- G•• S••••••••• I••• BD affiliated currentsince May 7, 2018 · Palm Beach Gardens, Fl
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to May 7, 2018 · Iselin, Nj
- M•• F•••••••• S•••••••• I••• formerMar 5, 2014 to Mar 25, 2017 · Piscataway, Nj
- M••••• S•••••• wirehouseJun 1, 2009 to Oct 30, 2013 · Westfield, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedNov 16, 2007 to Jun 1, 2009 · Westfield, Nj
- M••••• S•••••• • C•• L•• unclassifiedApr 2, 2007 to Nov 21, 2007 · Short Hills, Nj
- M••••• S•••••• D• I••• unclassifiedFeb 23, 2004 to Apr 2, 2007 · Westfield, Nj
- M•• I•••••••• S•••••••• L•• to G•• S••••••••• I•••left May 7, 2018, registered May 7, 2018 (0 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to M•• I•••••••• S•••••••• L••left Mar 25, 2017, registered Mar 25, 2017 (0 days) · corporate re-registration, not a move
- M••••• S•••••• to M•• F•••••••• S•••••••• I•••left Oct 30, 2013, registered Mar 5, 2014 (126 days) · Other
- C•••••••• G••••• M•••••• I••• to M••••• S••••••left Jun 1, 2009, registered Jun 1, 2009 (0 days) · corporate re-registration, not a move
- M••••• S•••••• • C•• L•• to C•••••••• G••••• M•••••• I•••left Nov 21, 2007, registered Nov 16, 2007 (-5 days) · Other
- M••••• S•••••• D• I••• to M••••• S•••••• • C•• L••left Apr 2, 2007, registered Apr 2, 2007 (0 days) · corporate re-registration, not a move
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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address