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••••• J••••• S•••••••
- L•• F•••••••• L•• BD affiliated currentsince Aug 30, 2023 · Scotch Plains, Nj
- O•••• W•••••• I••• BD affiliatedJul 29, 2016 to Jan 25, 2022 · Holmdel, Nj
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• BD affiliatedJul 28, 2016 to Jul 28, 2016 · Benardsville, Nj
- O•••• W•••••• I••• BD affiliatedSep 29, 2009 to Jul 21, 2016 · Holmdel, Nj
- E•••••••• A•••••••• L•• national BDJul 30, 2002 to Mar 21, 2006 · New York, Ny
- O•••• W•••••• I••• to L•• F•••••••• L••left Jan 25, 2022, registered Aug 30, 2023 (582 days) · Affiliated broker-dealer or bank to another
- R•••••• J•••• F•••••••• S••••••• A•••••••• I•• to O•••• W•••••• I•••left Jul 28, 2016, registered Jul 29, 2016 (1 days) · Other
- O•••• W•••••• I••• to R•••••• J•••• F•••••••• S••••••• A•••••••• I••left Jul 21, 2016, registered Jul 28, 2016 (7 days) · Other
- E•••••••• A•••••••• L•• to O•••• W•••••• I•••left Mar 21, 2006, registered Sep 29, 2009 (1288 days) · Other
- E••••• J••••• S••••••• left O•••• W•••••• I••• for L•• F•••••••• L•• (registered 2023-08-30)Jan 25, 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
- 28derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address