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.
S••••• J••• B••••••••
- L•• F•••••••• L•• BD affiliated currentsince Mar 18, 2022 · Holmdel, Nj
- S•••••••• S••••••••• BD affiliatedSep 19, 2012 to Mar 29, 2022 · Middletown, Nj
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to Sep 19, 2012 · Middletown, Nj
- I••• S••••••••• I••• unclassifiedAug 25, 2004 to May 27, 2008 · Middletown, Nj
- P•• W••••• M••••••••• BD affiliatedJan 1, 2004 to Aug 25, 2004 · Red Bank, Nj
- J••••• H•••••••• W••• L••••• L•• formerSep 11, 2003 to Jan 1, 2004 · Red Bank, Nj
- S•••••••• S••••••••• to L•• F•••••••• L••left Mar 29, 2022, registered Mar 18, 2022 (-11 days) · Affiliated broker-dealer or bank to independent RIA
- L•• F•••••••• L•• to S•••••••• S•••••••••left Sep 19, 2012, registered Sep 19, 2012 (0 days) · corporate re-registration, not a move
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- P•• W••••• M••••••••• to I••• S••••••••• I•••left Aug 25, 2004, registered Aug 25, 2004 (0 days) · Other
- J••••• H•••••••• W••• L••••• L•• to P•• W••••• M•••••••••left Jan 1, 2004, registered Jan 1, 2004 (0 days) · corporate re-registration, not a move
- S••••• J••• B•••••••• left S•••••••• S••••••••• for L•• F•••••••• L•• (registered 2022-03-18)Mar 29, 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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address