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•••• R••• H•••
- W•••••••• W••••• M••••••••• I••• independent RIA currentsince Jun 8, 2020 · Mountainside, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMar 25, 2013 to Jul 2, 2020 · Summit, Nj
- U•• F•••••••• S••••••• I••• wirehouseNov 4, 2005 to Mar 11, 2013 · Westfield, Nj
- M••••• S•••••• D• I••• unclassifiedMay 23, 2002 to Nov 8, 2005 · Westfield, Nj
- C•••••••• G••••• M•••••• I••• to W•••••••• W••••• M••••••••• I•••left Jul 2, 2020, registered Jun 8, 2020 (-24 days) · Affiliated broker-dealer or bank to independent RIA
- U•• F•••••••• S••••••• I••• to C•••••••• G••••• M•••••• I•••left Mar 11, 2013, registered Mar 25, 2013 (14 days) · Other
- M••••• S•••••• D• I••• to U•• F•••••••• S••••••• I•••left Nov 8, 2005, registered Nov 4, 2005 (-4 days) · Other
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address