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••••• J••••• F••••
- M•• I•••••••• S•••••••• L•• BD affiliated currentsince Feb 7, 2023 · Shelton, Ct
- P•••• S••••••••• L•• no RAUMSep 27, 2019 to Oct 4, 2022 · Newark, Nj
- M•• I•••••••• S•••••••• L•• BD affiliatedMar 25, 2017 to Jul 23, 2019 · Charlotte, Nc
- W••••• S••••• S••••••••• I••• formerNov 9, 2007 to Feb 24, 2012 · Somerset, Nj
- N•• E•••••• S••••••••• C••••••••• formerNov 9, 2007 to Jan 2, 2015 · Somerset, Nj
- M•• F•••••••• S•••••••• I••• formerJul 31, 2002 to Mar 25, 2017 · Somerset, Nj
- P•••• S••••••••• L•• to M•• I•••••••• S•••••••• L••left Oct 4, 2022, registered Feb 7, 2023 (126 days) · Affiliated broker-dealer or bank to another
- M•• I•••••••• S•••••••• L•• to P•••• S••••••••• L••left Jul 23, 2019, registered Sep 27, 2019 (66 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to W••••• S••••• S••••••••• I•••left Mar 25, 2017, registered Nov 9, 2007 (-3424 days) · Other · moved with a team
- N•• E•••••• S••••••••• C••••••••• to M•• I•••••••• S•••••••• L••left Jan 2, 2015, registered Mar 25, 2017 (813 days) · Other · moved with a team
- W••••• S••••• S••••••••• I••• to N•• E•••••• S••••••••• C•••••••••left Feb 24, 2012, registered Nov 9, 2007 (-1568 days) · channel change inside one enterprise, not a move
- D••••• J••••• F•••• left P•••• S••••••••• L•• for M•• I•••••••• S•••••••• L•• (registered 2023-02-07)Oct 4, 2022 · Advisor changed firm · fact
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
- 29derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address