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•••••• P•••• L•••••
- T•• G•••••••• G••••• I••• independent RIA currentsince Oct 21, 2010 · Maplewood, Nj
- L•• F•••••••• L•• BD affiliatedMay 9, 2008 to Jan 13, 2011 · Maplewood, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to May 20, 2008 · Maplewood, Nj
- Q•••• • R•••••• I••• unclassifiedNov 21, 2002 to Oct 20, 2004 · Maplewood, Nj
- L•• F•••••••• L•• to T•• G•••••••• G••••• I•••left Jan 13, 2011, registered Oct 21, 2010 (-84 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to L•• F•••••••• L••left May 20, 2008, registered May 9, 2008 (-11 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- Independent wealth managerderived
- Years in industry
- 33derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address