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•••••• C••••••••• S••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Nov 6, 2019 · Short Hills, Nj
- A••••• A•• P••••••• S••••••• BD affiliatedDec 9, 2009 to Jul 16, 2019 · Roseland, Nj
- P•••••••• F•••••••• S••••••• independent RIANov 12, 2008 to Dec 15, 2009 · Mine Hill, Nj
- L•• F•••••••• L•• BD affiliatedMay 30, 2008 to Jun 2, 2009 · Mine Hill, Nj
- U•• F•••••••• S••••••• I••• wirehouseApr 29, 2002 to Jun 20, 2008 · Weehawken, Nj
- A••••• A•• P••••••• S••••••• to E•••••• F•••••••• E••••••left Jul 16, 2019, registered Nov 6, 2019 (113 days) · Affiliated broker-dealer or bank to independent RIA
- P•••••••• F•••••••• S••••••• to A••••• A•• P••••••• S•••••••left Dec 15, 2009, registered Dec 9, 2009 (-6 days) · Other
- L•• F•••••••• L•• to P•••••••• F•••••••• S•••••••left Jun 2, 2009, registered Nov 12, 2008 (-202 days) · Other
- U•• F•••••••• S••••••• I••• to L•• F•••••••• L••left Jun 20, 2008, registered May 30, 2008 (-21 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
- Independent wealth managerderived
- Years in industry
- 25derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address