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.
C•••••• R•••••• C•••••••••
- C•••••••• G••••• M•••••• I••• BD affiliated currentsince Jun 17, 2022 · New York, Ny
- P•• W••••• M••••••••• BD affiliatedDec 2, 2016 to May 18, 2022 · Millburn, Nj
- H••• S••••••••• •••• I••• BD affiliatedJun 28, 2006 to Dec 9, 2016 · Fort Lee, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Aug 9, 2005 · Ft. Lee, Nj
- Q•••• • R•••••• I••• unclassifiedSep 14, 2004 to Oct 20, 2004 · Ft. Lee, Nj
- C•••• I••••••••• S••••••• C•••• formerFeb 5, 1998 to Sep 9, 2004 · New York, Ny
- P•• W••••• M••••••••• to C•••••••• G••••• M•••••• I•••left May 18, 2022, registered Jun 17, 2022 (30 days) · Affiliated broker-dealer or bank to another
- H••• S••••••••• •••• I••• to P•• W••••• M•••••••••left Dec 9, 2016, registered Dec 2, 2016 (-7 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to H••• S••••••••• •••• I•••left Aug 9, 2005, registered Jun 28, 2006 (323 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
- C•••• I••••••••• S••••••• C•••• to Q•••• • R•••••• I•••left Sep 9, 2004, registered Sep 14, 2004 (5 days) · Other
- C•••••• R•••••• C••••••••• left P•• W••••• M••••••••• for C•••••••• G••••• M•••••• I••• (registered 2022-06-17)May 18, 2022 · Advisor changed firm · fact
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
- 39derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address