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.
J•••• N• E••••••••
- O•••• W•••••• I••• BD affiliated currentsince Sep 1, 2023 · Fairfield, Nj
- S•••••••• F••••••••• I••• formerOct 21, 2022 to Sep 1, 2023 · Scottsdale, Az
- O•••• F•• I••• formerOct 1, 2010 to Oct 25, 2022 · Paramus, Nj
- I••••••••• P••••••• A•••••••• L•• unclassifiedJul 22, 2003 to Oct 1, 2010 · Fairfield, Nj
- S•••••••• F••••••••• I••• to O•••• W•••••• I•••left Sep 1, 2023, registered Sep 1, 2023 (0 days) · corporate re-registration, not a move
- O•••• F•• I••• to S•••••••• F••••••••• I•••left Oct 25, 2022, registered Oct 21, 2022 (-4 days) · Affiliated broker-dealer or bank to another
- I••••••••• P••••••• A•••••••• L•• to O•••• F•• I•••left Oct 1, 2010, registered Oct 1, 2010 (0 days) · Other
- J•••• N• E•••••••• left O•••• F•• I••• for S•••••••• F••••••••• I••• (registered 2022-10-21)Oct 25, 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
- 41derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address