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•••••• C•••• M••••••
- C••••••••• A••••••• independent RIA currentsince Feb 24, 2014 · Sarasota, Fl
- P•••••••• C•••••• M••••••••• L•• independent RIAAug 8, 2012 to Mar 14, 2014 · Red Bank, Nj
- C•••••• A•••• M••••••••• L•• unclassifiedApr 23, 2007 to Dec 31, 2009 · Colts Neck, Nj
- R•• C•••••• M••••••• L•• national BDJan 18, 2007 to May 2, 2007 · Red Bank, Nj
- P•••••••• C•••••• M••••••••• L•• to C••••••••• A•••••••left Mar 14, 2014, registered Feb 24, 2014 (-18 days) · Other
- C•••••• A•••• M••••••••• L•• to P•••••••• C•••••• M••••••••• L••left Dec 31, 2009, registered Aug 8, 2012 (951 days) · Other
- R•• C•••••• M••••••• L•• to C•••••• A•••• M••••••••• L••left May 2, 2007, registered Apr 23, 2007 (-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
- Independent wealth managerderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address