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.
H•••• C•••••• K•••••
- T•• A•••••••• G•••• BD affiliated currentsince Oct 22, 2021 · Longboat Key, Fl
- A••••• P•••••• W•••••• I••• independent RIAJan 15, 2019 to Oct 21, 2021 · Sea Girt, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDOct 17, 2016 to Jan 10, 2019 · Wall Township, Nj
- G••••• S••••••••• I••• formerMar 31, 2004 to Oct 21, 2016 · Sea Girt, Nj
- M••• S••••• M••••••••• C•••••• unclassifiedNov 15, 2002 to Mar 31, 2004 · Mendham, Nj
- A••••• P•••••• W•••••• I••• to T•• A•••••••• G••••left Oct 21, 2021, registered Oct 22, 2021 (1 days) · RIA to RIA
- A••••••••• F•••••••• S•••••••• L•• to A••••• P•••••• W•••••• I•••left Jan 10, 2019, registered Jan 15, 2019 (5 days) · Affiliated broker-dealer or bank to independent RIA
- G••••• S••••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Oct 21, 2016, registered Oct 17, 2016 (-4 days) · Other
- M••• S••••• M••••••••• C•••••• to G••••• S••••••••• I•••left Mar 31, 2004, registered Mar 31, 2004 (0 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
- 45derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address