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.
Y•••••• L•
- E•••••••• A•••••••• L•• national BD currentsince Apr 20, 2020 · Montvale, Nj
- F•••• H•••••••• C••••••••• I••• BD affiliatedMay 28, 2019 to Apr 15, 2020 · Edison, Nj
- E•• F•••••••• A••••••• independent RIAAug 11, 2014 to Sep 25, 2018 · Red Bank, Nj
- M•• F•••••••• S•••••••• I••• formerJul 31, 2002 to Mar 19, 2014 · Paramus, Nj
- F•••• H•••••••• C••••••••• I••• to E•••••••• A•••••••• L••left Apr 15, 2020, registered Apr 20, 2020 (5 days) · Affiliated broker-dealer or bank to another
- E•• F•••••••• A••••••• to F•••• H•••••••• C••••••••• I•••left Sep 25, 2018, registered May 28, 2019 (245 days) · Affiliated broker-dealer or bank to another
- M•• F•••••••• S•••••••• I••• to E•• F•••••••• A•••••••left Mar 19, 2014, registered Aug 11, 2014 (145 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
- National broker-dealer RIAderived
- Years in industry
- 32derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address