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.
T•••••• F• G•••••
- L•• F•••••••• L•• BD affiliated currentsince May 29, 2019 · Spring Lake, Nj
- P••• A••••• S••••••••• L•• BD affiliatedOct 30, 2007 to Jun 13, 2019 · Wall, Nj
- C•••••• G•••• • C• I•• formerJan 5, 1998 to Dec 31, 2005 · Spring Lake, Nj
- P••• A••••• S••••••••• L•• to L•• F•••••••• L••left Jun 13, 2019, registered May 29, 2019 (-15 days) · Affiliated broker-dealer or bank to independent RIA
- C•••••• G•••• • C• I•• to P••• A••••• S••••••••• L••left Dec 31, 2005, registered Oct 30, 2007 (668 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
- 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