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••• A•••••• F•••••••
- C••••••• S••••••••• I••• BD affiliated currentsince Aug 17, 2022 · Point Pleasant, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedDec 7, 2021 to Aug 17, 2022 · Scotch Plains, Nj
- P•••• S••••••••• L•• no RAUMJan 10, 2017 to Dec 9, 2021 · Brick, Nj
- C•••••• O•• A•••••••• L•• formerJan 28, 2015 to Dec 12, 2016 · Seattle, Wa
- C•••••• O•• F•••••••• A••••••• L•• unclassifiedDec 14, 2012 to Jan 28, 2015 · Melville, Ny
- S••••• A••• A•••• M••••••••• I••• formerNov 9, 2010 to Dec 18, 2012 · Freehold, Nj
- O•••• W•••••• I••• BD affiliatedOct 8, 2004 to Feb 23, 2010 · Lakewood, Nj
- C••••• I••••••••• A••••••• L•• to C••••••• S••••••••• I•••left Aug 17, 2022, registered Aug 17, 2022 (0 days) · Affiliated broker-dealer or bank to another · moved with a team
- P•••• S••••••••• L•• to C••••• I••••••••• A••••••• L••left Dec 9, 2021, registered Dec 7, 2021 (-2 days) · Affiliated broker-dealer or bank to another
- C•••••• O•• A•••••••• L•• to P•••• S••••••••• L••left Dec 12, 2016, registered Jan 10, 2017 (29 days) · Other
- C•••••• O•• F•••••••• A••••••• L•• to C•••••• O•• A•••••••• L••left Jan 28, 2015, registered Jan 28, 2015 (0 days) · corporate re-registration, not a move
- S••••• A••• A•••• M••••••••• I••• to C•••••• O•• F•••••••• A••••••• L••left Dec 18, 2012, registered Dec 14, 2012 (-4 days) · Other
- O•••• W•••••• I••• to S••••• A••• A•••• M••••••••• I•••left Feb 23, 2010, registered Nov 9, 2010 (259 days) · Other
- J••• A•••••• F••••••• left C••••• I••••••••• A••••••• L•• for C••••••• S••••••••• I••• (registered 2022-08-17)Aug 17, 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
- 30derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address