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••••• M•••••• B••••••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Aug 19, 2022 · Milltown, Nj
- S••••••• F•••••••• S•••••••• I••• formerJan 26, 2017 to Aug 25, 2022 · Manasquan, Nj
- M•• F•••••••• S•••••••• I••• formerAug 19, 2014 to Jan 23, 2017 · Wall Township, Nj
- C••••• I••••••••• A••••••• L•• BD affiliatedJan 21, 2014 to Aug 15, 2014 · Bloomfield, Nj
- C••••• I••••••••• S••••••• L•• formerSep 14, 2009 to Jan 21, 2014 · Bloomfield, Nj
- L•• F•••••••• L•• BD affiliatedMay 27, 2008 to May 8, 2009 · Lakewood, Nj
- I••• S••••••••• I••• unclassifiedJul 7, 2003 to May 27, 2008 · Toms River, Nj
- S••••••• F•••••••• S•••••••• I••• to A••••••••• F•••••••• S•••••••• L••left Aug 25, 2022, registered Aug 19, 2022 (-6 days) · RIA to affiliated broker-dealer or bank
- M•• F•••••••• S•••••••• I••• to S••••••• F•••••••• S•••••••• I•••left Jan 23, 2017, registered Jan 26, 2017 (3 days) · Other
- C••••• I••••••••• A••••••• L•• to M•• F•••••••• S•••••••• I•••left Aug 15, 2014, registered Aug 19, 2014 (4 days) · Other
- C••••• I••••••••• S••••••• L•• to C••••• I••••••••• A••••••• L••left Jan 21, 2014, registered Jan 21, 2014 (0 days) · corporate re-registration, not a move
- L•• F•••••••• L•• to C••••• I••••••••• S••••••• L••left May 8, 2009, registered Sep 14, 2009 (129 days) · Other
- I••• S••••••••• I••• to L•• F•••••••• L••left May 27, 2008, registered May 27, 2008 (0 days) · corporate re-registration, not a move
- D••••• M•••••• B•••••• left S••••••• F•••••••• S•••••••• I••• for A••••••••• F•••••••• S•••••••• L•• (registered 2022-08-19)Aug 25, 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
- National broker-dealer RIAderived
- Years in industry
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address