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.
G•••••• E••••• S••••••
- P••••••••• C•••••• A••••••• independent RIA currentsince Nov 8, 2023 · Red Bank, Nj
- K• F•••••••• P•••••••• L•• formerJun 12, 2012 to Mar 31, 2017 · Point Pleasant Beach, Nj
- K••••••••• A•••••••• L•• state registeredOct 28, 2004 to Jun 6, 2013 · Point Pleasant Beach, Nj
- E•••••••• A•••••••• L•• national BDJul 30, 2002 to Jun 13, 2012 · Pt. Pleasant Beach, Nj
- K• F•••••••• P•••••••• L•• to P••••••••• C•••••• A•••••••left Mar 31, 2017, registered Nov 8, 2023 (2413 days) · Other
- K••••••••• A•••••••• L•• to K• F•••••••• P•••••••• L••left Jun 6, 2013, registered Jun 12, 2012 (-359 days) · Other
- E•••••••• A•••••••• L•• to K••••••••• A•••••••• L••left Jun 13, 2012, registered Oct 28, 2004 (-2785 days) · Affiliated broker-dealer or bank to a state-registered adviser
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