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.
N••••••• I•••••••
- P••• A••••• S••••••••• L•• BD affiliated currentsince Jun 13, 2018 · Holmdel, Nj
- C••••• • A••••••••• I••• independent RIAFeb 7, 2017 to Jun 20, 2018 · Matawan, Nj
- V••• F•••••••• A•••••••• I••• BD affiliatedApr 27, 2016 to Feb 10, 2017 · Garfield, Nj
- W•••• F•••• A••••••• wirehouseMar 6, 2009 to May 22, 2014 · Highland P•••, Nj
- P•• W••••• M••••••••• BD affiliatedApr 3, 2006 to Mar 6, 2009 · Holmdel, Nj
- B••• O• A•••••• I••••••••• S•••••••• I••• unclassifiedOct 20, 2004 to Mar 31, 2006 · East Brunswick , Nj
- Q•••• • R•••••• I••• unclassifiedJul 29, 2004 to Oct 20, 2004 · Milltown, Nj
- C••••• • A••••••••• I••• to P••• A••••• S••••••••• L••left Jun 20, 2018, registered Jun 13, 2018 (-7 days) · RIA to affiliated broker-dealer or bank
- V••• F•••••••• A•••••••• I••• to C••••• • A••••••••• I•••left Feb 10, 2017, registered Feb 7, 2017 (-3 days) · Other
- W•••• F•••• A••••••• to V••• F•••••••• A•••••••• I•••left May 22, 2014, registered Apr 27, 2016 (706 days) · Other
- P•• W••••• M••••••••• to W•••• F•••• A•••••••left Mar 6, 2009, registered Mar 6, 2009 (0 days) · Other
- B••• O• A•••••• I••••••••• S•••••••• I••• to P•• W••••• M•••••••••left Mar 31, 2006, registered Apr 3, 2006 (3 days) · Other
- Q•••• • R•••••• I••• to B••• O• A•••••• I••••••••• S•••••••• I•••left Oct 20, 2004, registered Oct 20, 2004 (0 days) · corporate re-registration, not a move
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
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address