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.
- M••••• S•••••• wirehouse currentsince Sep 5, 2023 · Jersey City, Nj
- E•••••• C•••••• M••••••••• L•• formerSep 10, 2008 to Sep 5, 2023 · Arlington, Va
- V••••• W••••• M•••••••• I••• independent RIAJul 30, 2007 to Sep 30, 2008 · Paramus, Nj
- T• A••••••••• I••••••••• M••••••••• L•• formerApr 25, 2006 to Feb 14, 2007 · Morristown, Nj
- T• A••••••••• I••• formerMay 11, 2004 to Feb 14, 2007 · Morristown, Nj
- C•••••• S••••• • C••• I••• national BDMay 23, 2002 to May 11, 2004 · Bridgewater, Nj
- E•••••• C•••••• M••••••••• L•• to M••••• S••••••left Sep 5, 2023, registered Sep 5, 2023 (0 days) · corporate re-registration, not a move
- V••••• W••••• M•••••••• I••• to E•••••• C•••••• M••••••••• L••left Sep 30, 2008, registered Sep 10, 2008 (-20 days) · Other
- T• A••••••••• I••••••••• M••••••••• L•• to V••••• W••••• M•••••••• I•••left Feb 14, 2007, registered Jul 30, 2007 (166 days) · Other
- T• A••••••••• I••• to T• A••••••••• I••••••••• M••••••••• L••left Feb 14, 2007, registered Apr 25, 2006 (-295 days) · channel change inside one enterprise, not a move
- C•••••• S••••• • C••• I••• to T• A••••••••• I•••left May 11, 2004, registered May 11, 2004 (0 days) · Affiliated broker-dealer or bank to a newly registered adviser
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
- Wirehousederived
- Years in industry
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address