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.
J••••• M•••• A•••••••
- R•••••• J•••• • A••••••••• I••• national BD currentsince May 7, 2019 · Hackensack, Nj
- W•••• F•••• A••••••• wirehouseApr 3, 2009 to May 7, 2019 · Paramus, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedOct 25, 2002 to Apr 21, 2009 · Paramus, Nj
- W•••• F•••• A••••••• to R•••••• J•••• • A••••••••• I•••left May 7, 2019, registered May 7, 2019 (0 days) · Wirehouse to affiliated broker-dealer or bank
- C•••••••• G••••• M•••••• I••• to W•••• F•••• A•••••••left Apr 21, 2009, registered Apr 3, 2009 (-18 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
- 38derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address