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.
M•••••• J••••• C•••••••
- I••••••••• F•••••••• G••••• L•• BD affiliated currentsince Apr 27, 2009 · Freehold, Nj
- O•••• F•• I••• formerJan 8, 2007 to Apr 29, 2009 · Manalapan, Nj
- Q•••••• A•••• M••••••••• I••• formerMay 17, 2006 to Jan 5, 2007 · Manalapan, Nj
- U•••••••• S••••••••• I••• unclassifiedDec 2, 2005 to Jun 14, 2006 · Manalapan, Nj
- W•••••••• F•••••••• G••••• I••• formerJun 22, 2005 to Dec 6, 2005 · Manalapan, Nj
- O•••• F•• I••• to I••••••••• F•••••••• G••••• L••left Apr 29, 2009, registered Apr 27, 2009 (-2 days) · Other
- Q•••••• A•••• M••••••••• I••• to O•••• F•• I•••left Jan 5, 2007, registered Jan 8, 2007 (3 days) · Other
- U•••••••• S••••••••• I••• to Q•••••• A•••• M••••••••• I•••left Jun 14, 2006, registered May 17, 2006 (-28 days) · corporate re-registration, not a move
- W•••••••• F•••••••• G••••• I••• to U•••••••• S••••••••• I•••left Dec 6, 2005, registered Dec 2, 2005 (-4 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