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.
J••• B••••• E••••••••
- W•••• F•••• A••••••• wirehouse currentsince May 12, 2020 · Paramus, Nj
- R•• C•••••• M••••••• L•• national BDJan 17, 2012 to May 27, 2020 · Paramus, Nj
- O••••••••• • C•• I••• BD affiliatedJan 2, 2008 to Jan 17, 2012 · Florham Park, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedJan 2, 2003 to Dec 6, 2007 · Ridgewood, Nj
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left May 27, 2020, registered May 12, 2020 (-15 days) · Affiliated broker-dealer or bank to wirehouse
- O••••••••• • C•• I••• to R•• C•••••• M••••••• L••left Jan 17, 2012, registered Jan 17, 2012 (0 days) · Other
- C•••••••• G••••• M•••••• I••• to O••••••••• • C•• I•••left Dec 6, 2007, registered Jan 2, 2008 (27 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
- Wirehousederived
- Years in industry
- 34derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address