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.
E••• L••••• W••
- R•• C•••••• M••••••• L•• national BD currentsince Jul 13, 2018 · Florham Park, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 13, 2016 to Jul 13, 2018 · Allendale, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerMay 2, 2013 to Jun 27, 2016 · Manahawkin, Nj
- N•• A•••• M••••••••• L•• BD affiliatedMar 2, 2011 to May 29, 2013 · Fair Lawn, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedOct 24, 2005 to Mar 10, 2011 · Lyndhurst, Nj
- C••••• A•••• M••••••••• L•• unclassifiedJul 1, 2002 to Oct 24, 2005 · Pompton Lakes, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to R•• C•••••• M••••••• L••left Jul 13, 2018, registered Jul 13, 2018 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Jun 27, 2016, registered Jul 13, 2016 (16 days) · Other
- N•• A•••• M••••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left May 29, 2013, registered May 2, 2013 (-27 days) · Other
- C••••• I••••••••• A••••••• L•• to N•• A•••• M••••••••• L••left Mar 10, 2011, registered Mar 2, 2011 (-8 days) · Other
- C••••• A•••• M••••••••• L•• to C••••• I••••••••• A••••••• L••left Oct 24, 2005, registered Oct 24, 2005 (0 days) · corporate re-registration, not a move
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