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.
M•••••• J••••• G••••••••
- S••••• F••••••••• L•• BD affiliated currentsince Nov 30, 2022 · Parsippany, Nj
- O•••• W•••••• I••• BD affiliatedNov 1, 2018 to Aug 8, 2019 · Scottsdale, Az
- L•••••••• T••••••• A•••• M••••••••• I•• otherFeb 28, 2017 to Jan 19, 2018 · New York, Ny
- O•••• W•••••• I••• to S••••• F••••••••• L••left Aug 8, 2019, registered Nov 30, 2022 (1210 days) · Affiliated broker-dealer or bank to another
- L•••••••• T••••••• A•••• M••••••••• I•• to O•••• W•••••• I•••left Jan 19, 2018, registered Nov 1, 2018 (286 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
- 27derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address