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.
S•••• I• M•••••
- C•••••• S••••• • C••• I••• national BD currentsince Nov 14, 2016 · Princeton, Nj
- U••• F•••••••• P••••••• S••••••• formerApr 4, 2013 to Aug 3, 2016 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseOct 23, 2009 to Nov 1, 2012 · Princeton, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedSep 6, 2005 to Oct 23, 2009 · Princeton, Nj
- C••••••• I••••••••• S••••••• unclassifiedApr 4, 2002 to Aug 31, 2005 · Short Hills, Nj
- U••• F•••••••• P••••••• S••••••• to C•••••• S••••• • C••• I•••left Aug 3, 2016, registered Nov 14, 2016 (103 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to U••• F•••••••• P••••••• S•••••••left Nov 1, 2012, registered Apr 4, 2013 (154 days) · Wirehouse to a newly registered adviser (no RAUM reported yet)
- B••• O• A•••••• I••••••••• S•••••••• I••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Oct 23, 2009, registered Oct 23, 2009 (0 days) · corporate re-registration, not a move
- C••••••• I••••••••• S••••••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Aug 31, 2005, registered Sep 6, 2005 (6 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
- National broker-dealer RIAderived
- Years in industry
- 35derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address