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.
W•••••• C••••• M•••••••
- S•••••• N••••••• • C••••••• I••••••••• national BD currentsince Sep 4, 2015 · Succasunna, Nj
- W•••• F•••• A••••••• wirehouseFeb 20, 2004 to Aug 11, 2015 · Sparta, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 10, 2002 to Feb 11, 2004 · Florham Park, Nj
- W•••• F•••• A••••••• to S•••••• N••••••• • C••••••• I•••••••••left Aug 11, 2015, registered Sep 4, 2015 (24 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Feb 11, 2004, registered Feb 20, 2004 (9 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
- National broker-dealer RIAderived
- Years in industry
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address