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.
L••••••• K•••• B••••
- A••••••• S••••••• N•••••• independent RIA currentsince Jan 10, 2018 · Montclair, Nj
- B• R•••• W••••• M••••••••• formerFeb 18, 2016 to Nov 10, 2017 · New York, Ny
- A••••••••• F•••••••• S•••••••• L•• national BDJul 18, 2013 to Dec 28, 2015 · Saddle Brook, Nj
- O••••••••• • C•• I••• BD affiliatedSep 16, 2008 to Jul 15, 2013 · New York, Ny
- W•••• F•••• A••••••• wirehouseJul 1, 2003 to Sep 4, 2008 · Florham Park, Nj
- P••••••••• E••••• G••••• L•• unclassifiedJul 30, 2002 to Jul 1, 2003 · Bedminster, Nj
- B• R•••• W••••• M••••••••• to A••••••• S••••••• N••••••left Nov 10, 2017, registered Jan 10, 2018 (61 days) · Other
- A••••••••• F•••••••• S•••••••• L•• to B• R•••• W••••• M•••••••••left Dec 28, 2015, registered Feb 18, 2016 (52 days) · Other
- O••••••••• • C•• I••• to A••••••••• F•••••••• S•••••••• L••left Jul 15, 2013, registered Jul 18, 2013 (3 days) · Other
- W•••• F•••• A••••••• to O••••••••• • C•• I•••left Sep 4, 2008, registered Sep 16, 2008 (12 days) · Other
- P••••••••• E••••• G••••• L•• to W•••• F•••• A•••••••left Jul 1, 2003, registered Jul 1, 2003 (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
- 37derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address