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.
S•••••• C•••••• C••••••
- W••••• E••••••••• A••••••• S•••••••• L•• BD affiliated currentsince Jun 17, 2024 · Oakland, Nj
- A•••• F•••••••• F••••••••• L•• formerSep 21, 2020 to Jun 18, 2024 · Oakland, Nj
- S•••••••• W••••• M••••••••• L•• formerOct 13, 2004 to Sep 17, 2020 · Oakland, Nj
- A•••• F•••••••• F••••••••• L•• to W••••• E••••••••• A••••••• S•••••••• L••left Jun 18, 2024, registered Jun 17, 2024 (-1 days) · RIA to RIA
- S•••••••• W••••• M••••••••• L•• to A•••• F•••••••• F••••••••• L••left Sep 17, 2020, registered Sep 21, 2020 (4 days) · RIA to a newly registered adviser
- S•••••• C•••••• C•••••• left A•••• F•••••••• F••••••••• L•• for W••••• E••••••••• A••••••• S•••••••• L•• (registered 2024-06-17)Jun 18, 2024 · Advisor changed firm · fact
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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 21derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address