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••••• P••• L• F••••
- N•• A•••••••• W••••• P••••••• former currentsince Aug 19, 2020 · Long Branch, Nj
- F•• W••••• M••••••••• L•• formerMar 24, 2016 to Aug 25, 2020 · Chatham, Nj
- F•• W••••• M••••••••• L•• formerOct 10, 2014 to Mar 23, 2016 · Chatham, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDNov 1, 2010 to Oct 23, 2014 · Rye Brook, Ny
- F•• W••••• M••••••••• L•• to N•• A•••••••• W••••• P•••••••left Aug 25, 2020, registered Aug 19, 2020 (-6 days) · RIA to a newly registered adviser
- F•• W••••• M••••••••• L•• to F•• W••••• M••••••••• L••left Mar 23, 2016, registered Mar 24, 2016 (1 days) · channel change inside one enterprise, not a move
- A••••••••• F•••••••• S•••••••• L•• to F•• W••••• M••••••••• L••left Oct 23, 2014, registered Oct 10, 2014 (-13 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
- Former SEC-registered adviserderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address