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••••• N• D•••••
- C•••••• S••••• • C••• I••• national BD currentsince Feb 2, 2021 · Millville, Nj
- I• A••••••• S•••••••• I••• formerJun 2, 2006 to Feb 1, 2021 · Bedminster, Nj
- T•• I••••••••• C•••••• I••• unclassifiedNov 13, 2002 to Jun 2, 2006 · Millville, Nj
- I• A••••••• S•••••••• I••• to C•••••• S••••• • C••• I•••left Feb 1, 2021, registered Feb 2, 2021 (1 days) · Affiliated broker-dealer or bank to another
- T•• I••••••••• C•••••• I••• to I• A••••••• S•••••••• I•••left Jun 2, 2006, registered Jun 2, 2006 (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
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address