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•••••••• S••••• M•••••
- E•••••• F•••••••• E•••••• independent RIA currentsince Oct 16, 2018 · Red Bank, Nj
- E•••••• F•••••••• S•••••••• L•• formerJan 21, 2015 to Nov 1, 2018 · Staten Island, Ny
- T•• M••••• F••• S•••• formerNov 20, 2012 to Apr 7, 2014 · Overland Park, Ks
- A••••• A•• P••••••• S••••••• BD affiliatedMar 28, 2007 to Oct 12, 2012 · New York, Ny
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 6, 1997 to Jun 12, 2002 · Somerset, Nj
- E•••••• F•••••••• S•••••••• L•• to E•••••• F•••••••• E••••••left Nov 1, 2018, registered Oct 16, 2018 (-16 days) · corporate re-registration, not a move
- T•• M••••• F••• S•••• to E•••••• F•••••••• S•••••••• L••left Apr 7, 2014, registered Jan 21, 2015 (289 days) · Other
- A••••• A•• P••••••• S••••••• to T•• M••••• F••• S••••left Oct 12, 2012, registered Nov 20, 2012 (39 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A••••• A•• P••••••• S•••••••left Jun 12, 2002, registered Mar 28, 2007 (1750 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
- Independent wealth managerderived
- Years in industry
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address