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.
D••••• A•• V••••••••
- G•••••••• W••••• P••••••• BD affiliated currentsince Feb 18, 2020 · Palm Beach Gardens, Fl
- A••••••••• F•••••••• S•••••••• L•• national BDAug 29, 2013 to Feb 24, 2020 · Florham Park, Nj
- U•• F•••••••• S••••••• I••• wirehouseJul 24, 2006 to Aug 26, 2013 · Warren, Nj
- A••••••••• F•••••••• S•••••••• L•• to G•••••••• W••••• P•••••••left Feb 24, 2020, registered Feb 18, 2020 (-6 days) · Affiliated broker-dealer or bank to independent RIA · moved with a team
- U•• F•••••••• S••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 26, 2013, registered Aug 29, 2013 (3 days) · Wirehouse to affiliated broker-dealer or bank
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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address