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•••• G••••••• D•••••••••
- S•••••• A••••••••• L••• independent RIA currentsince Nov 21, 2017 · Jersey City, Nj
- S••••••••• F•••••••• S•••••••• I••• unclassifiedOct 17, 2017 to Dec 31, 2017 · Jersey City, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 27, 2015 to Oct 24, 2017 · Ridgewood, Ny
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• formerMar 4, 2011 to Nov 13, 2015 · Ridgewood, Ny
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Mar 4, 2011 · Middle Village, Ny
- I••• S••••••••• I••• unclassifiedJun 3, 2003 to May 27, 2008 · Long Island City, Ny
- S••••••••• F•••••••• S•••••••• I••• to S•••••• A••••••••• L•••left Dec 31, 2017, registered Nov 21, 2017 (-40 days) · Other · moved with a team
- C••••• I••••••••• A••••••• L•• to S••••••••• F•••••••• S•••••••• I•••left Oct 24, 2017, registered Oct 17, 2017 (-7 days) · Other
- J• P• T••••• • C•••••• C•••••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Nov 13, 2015, registered Oct 27, 2015 (-17 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to J• P• T••••• • C•••••• C•••••• M••••••••• L••left Mar 4, 2011, registered Mar 4, 2011 (0 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address