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•••• J•••• T•••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 25, 2022 · Bedminster, Nj
- M•• I•••••••• S•••••••• L•• BD affiliatedNov 14, 2017 to Mar 29, 2022 · Warren, Nj
- N••••••••• M••••• I••••••••• S••••••••• no RAUMFeb 1, 2008 to Aug 31, 2017 · New Brunswick, Nj
- M•• I•••••••• S•••••••• L•• to L•• F•••••••• L••left Mar 29, 2022, registered Mar 25, 2022 (-4 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- N••••••••• M••••• I••••••••• S••••••••• to M•• I•••••••• S•••••••• L••left Aug 31, 2017, registered Nov 14, 2017 (75 days) · Other
- S•••• J•••• T••••• left M•• I•••••••• S•••••••• L•• for L•• F•••••••• L•• (registered 2022-03-25)Mar 29, 2022 · 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
- Broker-dealer affiliated wealth managerderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address