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.
R•••••• O••••••••
- E••••• J•••• national BD currentsince Feb 28, 2020 · Summerville, Sc
- M•• I•••••••• S•••••••• L•• BD affiliatedJul 31, 2018 to Nov 20, 2019 · Pittsburgh, Pa
- F•••••••• A••••••• S•••••••• L•• formerFeb 3, 2016 to May 7, 2018 · Edison, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseSep 22, 2014 to Nov 3, 2015 · Freehold, Nj
- P•••••••• A••••••• national BDFeb 14, 2013 to Apr 15, 2014 · Brick, Nj
- I•••••••• C•••••• A••••••• formerAug 30, 2012 to Jan 11, 2013 · Lynnfield, Ma
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseDec 4, 2009 to Aug 31, 2012 · Lincroft, Nj
- M•• I•••••••• S•••••••• L•• to E••••• J••••left Nov 20, 2019, registered Feb 28, 2020 (100 days) · Affiliated broker-dealer or bank to another
- F•••••••• A••••••• S•••••••• L•• to M•• I•••••••• S•••••••• L••left May 7, 2018, registered Jul 31, 2018 (85 days) · Affiliated broker-dealer or bank to another
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to F•••••••• A••••••• S•••••••• L••left Nov 3, 2015, registered Feb 3, 2016 (92 days) · Other
- P•••••••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Apr 15, 2014, registered Sep 22, 2014 (160 days) · Affiliated broker-dealer or bank to wirehouse
- I•••••••• C•••••• A••••••• to P•••••••• A•••••••left Jan 11, 2013, registered Feb 14, 2013 (34 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to I•••••••• C•••••• A•••••••left Aug 31, 2012, registered Aug 30, 2012 (-1 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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address