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••••• S•••••• wirehouse currentsince Dec 5, 2017 · Sea Girt, Nj
- W•••• F•••• A••••••• wirehouseSep 5, 2012 to Dec 13, 2017 · Spring Lake, Nj
- R•• C•••••• M••••••• L•• national BDApr 18, 2008 to Oct 1, 2012 · Wall Township, Nj
- U•• F•••••••• S••••••• I••• wirehouseSep 10, 2004 to Apr 29, 2008 · Red Bank, Nj
- M••••• S•••••• D• I••• unclassifiedJul 5, 2002 to Sep 10, 2004 · Sea Girth, Nj
- W•••• F•••• A••••••• to M••••• S••••••left Dec 13, 2017, registered Dec 5, 2017 (-8 days) · Wirehouse to wirehouse · moved with a team
- R•• C•••••• M••••••• L•• to W•••• F•••• A•••••••left Oct 1, 2012, registered Sep 5, 2012 (-26 days) · Affiliated broker-dealer or bank to wirehouse
- U•• F•••••••• S••••••• I••• to R•• C•••••• M••••••• L••left Apr 29, 2008, registered Apr 18, 2008 (-11 days) · Wirehouse to affiliated broker-dealer or bank
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Sep 10, 2004, registered Sep 10, 2004 (0 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
- Wirehousederived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address