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.
R••••• J••• B•••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Mar 9, 2020 · Bedminster, Nj
- I•••••• P•••••• A•••••••• L•• formerJan 7, 2014 to Mar 9, 2020 · Bridgewater, Nj
- P•••••• C•••••• F•••••• unclassifiedOct 14, 2009 to Dec 12, 2014 · Flemington, Nj
- L•• F•••••••• L•• BD affiliatedMay 13, 2004 to Oct 28, 2015 · Bridgewater, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 24, 2003 to May 17, 2004 · Edison, Nj
- I•••••• P•••••• A•••••••• L•• to A••••••••• F•••••••• S•••••••• L••left Mar 9, 2020, registered Mar 9, 2020 (0 days) · RIA to affiliated broker-dealer or bank
- L•• F•••••••• L•• to P•••••• C•••••• F••••••left Oct 28, 2015, registered Oct 14, 2009 (-2205 days) · Other · moved with a team
- P•••••• C•••••• F•••••• to I•••••• P•••••• A•••••••• L••left Dec 12, 2014, registered Jan 7, 2014 (-339 days) · Other
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to L•• F•••••••• L••left May 17, 2004, registered May 13, 2004 (-4 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
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address