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•••• P•••••••••
- L•• F•••••••• L•• BD affiliated currentsince Nov 29, 2017 · Sea Girt, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• formerNov 9, 2015 to Dec 6, 2017 · El Segundo, Ca
- C••••• A••••••• L•• formerMar 13, 2009 to Nov 10, 2015 · Wall, Nj
- C•••••••• G••••• M•••••• I••• BD affiliatedMay 8, 2002 to Apr 9, 2009 · Sea Girt, Nj
- N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N•• to L•• F•••••••• L••left Dec 6, 2017, registered Nov 29, 2017 (-7 days) · corporate re-registration, not a move
- C••••• A••••••• L•• to N••••••• P••••••• C••••••••• •••• O• A••••••• I• F• • N••left Nov 10, 2015, registered Nov 9, 2015 (-1 days) · Other · moved with a team
- C•••••••• G••••• M•••••• I••• to C••••• A••••••• L••left Apr 9, 2009, registered Mar 13, 2009 (-27 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