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.
M•••••• F•••••• C••••••
- G•••••••• W••••• P••••••• BD affiliated currentsince Dec 16, 2022 · Paramus, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseNov 4, 2011 to May 7, 2021 · Paramus, Nj
- W•••• F•••• A••••••• wirehouseJan 3, 2005 to Nov 8, 2011 · Ridgewood, Nj
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to G•••••••• W••••• P•••••••left May 7, 2021, registered Dec 16, 2022 (588 days) · Wirehouse to affiliated broker-dealer or bank
- W•••• F•••• A••••••• to M•••••• L••••• P•••••• F••••• • S•••• I•••••••••left Nov 8, 2011, registered Nov 4, 2011 (-4 days) · Wirehouse to wirehouse
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
- 31derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address