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•••••• W••••
- L•• F•••••••• L•• BD affiliated currentsince Oct 9, 2020 · Margate City, Nj
- A••••••••• F•••••••• S•••••••• L•• national BDOct 21, 2011 to Oct 14, 2020 · Linwood, Nj
- E••••• J•••• national BDDec 12, 2006 to Oct 24, 2011 · Linwood, Nj
- U•• F•••••••• S••••••• I••• wirehouseJul 30, 2002 to May 10, 2004 · Northfield, Nj
- A••••••••• F•••••••• S•••••••• L•• to L•• F•••••••• L••left Oct 14, 2020, registered Oct 9, 2020 (-5 days) · Affiliated broker-dealer or bank to another · moved with a team
- E••••• J•••• to A••••••••• F•••••••• S•••••••• L••left Oct 24, 2011, registered Oct 21, 2011 (-3 days) · Affiliated broker-dealer or bank to another
- U•• F•••••••• S••••••• I••• to E••••• J••••left May 10, 2004, registered Dec 12, 2006 (946 days) · Wirehouse to affiliated broker-dealer or bank
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