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.
L•••• J••••• Z••••••
- O•••• W•••••• I••• BD affiliated currentsince Jan 19, 2024 · River Edge, Nj
- W••••••• F•••••••• S•••••••• I••• formerMar 1, 2019 to Jan 19, 2024 · River Edge, Nj
- Q•••••• A•••• M••••••••• I••• formerJun 14, 2016 to Mar 1, 2019 · River Edge, Nj
- C•••••••• I••••••••• R••••••• A•••••••• I••• BD affiliatedJul 3, 2014 to Jul 8, 2016 · River Edge, Nj
- O•••• F•• I••• formerNov 9, 2011 to Jul 21, 2014 · Paramus, Nj
- H• B•••• I••• formerNov 22, 2005 to Nov 30, 2011 · Rockville, Md
- D••••• independent RIAJan 7, 2003 to Aug 26, 2005 · San Diego, Ca
- W••••••• F•••••••• S•••••••• I••• to O•••• W•••••• I•••left Jan 19, 2024, registered Jan 19, 2024 (0 days) · corporate re-registration, not a move
- Q•••••• A•••• M••••••••• I••• to W••••••• F•••••••• S•••••••• I•••left Mar 1, 2019, registered Mar 1, 2019 (0 days) · corporate re-registration, not a move
- C•••••••• I••••••••• R••••••• A•••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jul 8, 2016, registered Jun 14, 2016 (-24 days) · Other
- O•••• F•• I••• to C•••••••• I••••••••• R••••••• A•••••••• I•••left Jul 21, 2014, registered Jul 3, 2014 (-18 days) · Other
- H• B•••• I••• to O•••• F•• I•••left Nov 30, 2011, registered Nov 9, 2011 (-21 days) · Other
- D••••• to H• B•••• I•••left Aug 26, 2005, registered Nov 22, 2005 (88 days) · Other
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