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.
T••••• C•••• I••••
- O••••••••• • C•• I••• BD affiliated currentsince Mar 25, 2009 · Raritan, Nj
- H•••••• • W•••• A•••• M••••••••• I••• BD affiliatedFeb 6, 2006 to May 27, 2009 · Parsippany, Nj
- R•• C•••••• M••••••• L•• national BDApr 15, 2002 to Sep 13, 2005 · Florham Park, Nj
- H•••••• • W•••• A•••• M••••••••• I••• to O••••••••• • C•• I•••left May 27, 2009, registered Mar 25, 2009 (-63 days) · Other
- R•• C•••••• M••••••• L•• to H•••••• • W•••• A•••• M••••••••• I•••left Sep 13, 2005, registered Feb 6, 2006 (146 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
- 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