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.
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E••••• J••••• M•••••••
- I••••••••• S••••• H•••••••• L•• independent RIA currentsince Dec 12, 2024 · Short Hills, Nj
- B• R•••• W••••• A•••••••• I••• BD affiliatedAug 26, 2022 to Dec 23, 2024 · Parsippany, Nj
- B• R•••• W••••• M••••••••• formerJan 30, 2015 to Dec 31, 2022 · New York, Ny
- D••••••• • D••••••• L•• formerMar 20, 2006 to Jan 28, 2015 · Old Greenwich, Ct
- C••••• S••••• S••••••••• •••• L•• formerJan 17, 2003 to Jan 31, 2005 · New York, Ny
- P••••••• L•• unclassifiedJul 9, 2002 to Jan 17, 2003 · New York, Ny
- B• R•••• W••••• A•••••••• I••• to I••••••••• S••••• H•••••••• L••left Dec 23, 2024, registered Dec 12, 2024 (-11 days) · Affiliated broker-dealer or bank to independent RIA
- B• R•••• W••••• M••••••••• to B• R•••• W••••• A•••••••• I•••left Dec 31, 2022, registered Aug 26, 2022 (-127 days) · corporate re-registration, not a move
- D••••••• • D••••••• L•• to B• R•••• W••••• M•••••••••left Jan 28, 2015, registered Jan 30, 2015 (2 days) · Other · moved with a team
- C••••• S••••• S••••••••• •••• L•• to D••••••• • D••••••• L••left Jan 31, 2005, registered Mar 20, 2006 (413 days) · Other
- P••••••• L•• to C••••• S••••• S••••••••• •••• L••left Jan 17, 2003, registered Jan 17, 2003 (0 days) · corporate re-registration, not a move
- E••••• J••••• M••••••• left B• R•••• W••••• A•••••••• I••• for I••••••••• S••••• H•••••••• L•• (registered 2024-12-12)Dec 23, 2024 · 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
- Independent wealth managerderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address