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.
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G•••• A••• M••••
- E••••• P••••••• O• N•• E••••••• L•• former currentsince Jul 28, 2023 · Portsmouth, Nh
- F••••••• P••••••• A•• W•••••••• A••••••• formerMay 28, 2019 to Jul 24, 2019 · Merrimack, Nh
- W•••• F•••• A••••••• wirehouseAug 12, 2011 to Apr 9, 2019 · Florham Park, Nj
- U•• F•••••••• S••••••• I••• wirehouseMar 21, 2007 to Aug 22, 2011 · Florham Park, Nj
- M••••• S•••••• D• I••• unclassifiedOct 25, 2002 to Feb 9, 2004 · Morristown, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseApr 25, 1995 to Oct 16, 2002 · New York, Ny
- F••••••• P••••••• A•• W•••••••• A••••••• to E••••• P••••••• O• N•• E••••••• L••left Jul 24, 2019, registered Jul 28, 2023 (1465 days) · Other
- W•••• F•••• A••••••• to F••••••• P••••••• A•• W•••••••• A•••••••left Apr 9, 2019, registered May 28, 2019 (49 days) · Wirehouse to affiliated broker-dealer or bank
- U•• F•••••••• S••••••• I••• to W•••• F•••• A•••••••left Aug 22, 2011, registered Aug 12, 2011 (-10 days) · Wirehouse to wirehouse
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Feb 9, 2004, registered Mar 21, 2007 (1136 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S•••••• D• I•••left Oct 16, 2002, registered Oct 25, 2002 (9 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
- Former SEC-registered adviserderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address