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.
K•••••• F•••••• D••••
- L•• W•••••• L•• independent RIA currentsince Oct 20, 2016 · Edison, Nj
- L•• F••• S•••••••• L•• asset manager currentsince Jan 3, 2013 · Edison, Nj
- F•• W••••• M••••••••• L•• formerJun 17, 2011 to Dec 21, 2012 · Chatham, Nj
- C••••••••• W••••• S••••••••• L•• independent RIAJan 6, 2009 to Aug 15, 2011 · Boca Raton, Fl
- G•••••• S•••• W••••• S•••••••• L••• BD affiliatedNov 6, 2003 to Nov 25, 2008 · Parsippany, Nj
- F•• W••••• M••••••••• L•• to L•• F••• S•••••••• L••left Dec 21, 2012, registered Jan 3, 2013 (13 days) · Other
- C••••••••• W••••• S••••••••• L•• to F•• W••••• M••••••••• L••left Aug 15, 2011, registered Jun 17, 2011 (-59 days) · Other
- G•••••• S•••• W••••• S•••••••• L••• to C••••••••• W••••• S••••••••• L••left Nov 25, 2008, registered Jan 6, 2009 (42 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
- Asset manager (funds and pooled vehicles)derived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address