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••• D• P••
- B••• P•••• S•••••••• W••••• M••••••••• L•• state registered currentsince Jan 18, 2018 · Fair Lawn, Nj
- N•• A•••• M••••••••• L•• BD affiliated currentsince Jan 9, 2018 · Fair Lawn, Nj
- B••• P•••• S•••••••• W••••• M••••••••• L•• state registeredSep 11, 2014 to Dec 31, 2017 · Fair Lawn, Nj
- B••• P•••• S•••••••• W••••• M••••••••• L•• state registeredJun 12, 2013 to Dec 31, 2013 · Fair Lawn, Nj
- N•• A•••• M••••••••• L•• BD affiliatedJul 20, 2004 to Dec 31, 2017 · Paramus, Nj
- N•• A•••• M••••••••• L•• to B••• P•••• S•••••••• W••••• M••••••••• L••left Dec 31, 2017, registered Jun 12, 2013 (-1663 days) · Other
- B••• P•••• S•••••••• W••••• M••••••••• L•• to N•• A•••• M••••••••• L••left Dec 31, 2017, registered Jan 9, 2018 (9 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address