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.
J•••• J••• C••
- A••••••••• F•••••••• S•••••••• L•• national BD currentsince Jul 25, 2018 · Saddle Brook, Nj
- W•••• F•••• A••••••• wirehouseJan 1, 2008 to Jul 25, 2018 · Paramus, Nj
- A• G• E•••••• • S•••• I••• unclassifiedMay 5, 2004 to Jan 1, 2008 · Oradell, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJan 23, 2001 to Apr 13, 2004 · Paramus, Nj
- W•••• F•••• A••••••• to A••••••••• F•••••••• S•••••••• L••left Jul 25, 2018, registered Jul 25, 2018 (0 days) · Wirehouse to affiliated broker-dealer or bank · moved with a team
- A• G• E•••••• • S•••• I••• to W•••• F•••• A•••••••left Jan 1, 2008, registered Jan 1, 2008 (0 days) · corporate re-registration, not a move
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to A• G• E•••••• • S•••• I•••left Apr 13, 2004, registered May 5, 2004 (22 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