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.
K••••• S•••••
- O•••• I••••••••• I••• BD affiliated currentsince Sep 19, 2022 · Leonia, Nj
- C••••••• S••••••••• I••• BD affiliatedAug 17, 2022 to Sep 20, 2022 · Lyndhurst, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedDec 7, 2017 to Aug 17, 2022 · Garfield, Nj
- I••••• F•••••••• C••••••••• formerSep 6, 2012 to Dec 6, 2017 · Union, Nj
- P•• W••••• M••••••••• BD affiliatedJan 14, 2009 to Sep 7, 2012 · Garfield, Nj
- R•••••• J•••• F•••••••• S•••••••• I••• unclassifiedJun 4, 2008 to Jan 5, 2009 · Hackettstown, Nj
- C••••• I••••••••• S••••••• L•• formerSep 5, 2006 to Jun 5, 2008 · Somerville, Nj
- C••••••• S••••••••• I••• to O•••• I••••••••• I•••left Sep 20, 2022, registered Sep 19, 2022 (-1 days) · Affiliated broker-dealer or bank to another
- C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- I••••• F•••••••• C••••••••• to C••••• I••••••••• A••••••• L••left Dec 6, 2017, registered Dec 7, 2017 (1 days) · Other · moved with a team
- P•• W••••• M••••••••• to I••••• F•••••••• C•••••••••left Sep 7, 2012, registered Sep 6, 2012 (-1 days) · Other
- R•••••• J•••• F•••••••• S•••••••• I••• to P•• W••••• M•••••••••left Jan 5, 2009, registered Jan 14, 2009 (9 days) · Other
- C••••• I••••••••• S••••••• L•• to R•••••• J•••• F•••••••• S•••••••• I•••left Jun 5, 2008, registered Jun 4, 2008 (-1 days) · Other
- K••••• S••••• left C••••••• S••••••••• I••• for O•••• I••••••••• I••• (registered 2022-09-19)Sep 20, 2022 · Advisor changed firm · fact
- K••••• S••••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-08-17)Aug 17, 2022 · 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
- 36derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address